Date posted
Apr
27
Tyler Neese is NSCP’s Director of Regulatory Affairs 1. What is your role at NSCP, and how do you support our members? I serve as...
Read PostNews
Check back regularly for news and updates from NSCP.
Date posted
Apr
24
Senior Compliance Manager The Pacific Financial Group Location: Remote Overview The Pacific Financial Group (TPFG) is a...
Read Post
Date posted
Apr
22
Senior Compliance Analyst CAPTRUST Location: Raleigh, NC Position Summary CAPTRUST is seeking a Senior Compliance Analyst to...
Read Post
Date posted
Apr
22
Compliance Analyst CAPTRUST Location: Raleigh, NC Position Summary CAPTRUST is seeking a Compliance Analyst to join our...
Read Post
Date posted
Apr
13
Compliance Manager/Senior Compliance Manager - Marketing Betterment Location: New York Job Details Compliance manager salary...
Read Post
Date posted
Apr
10
Expert Witness & Consulting Professional - FINRA / SEC Regulatory Matters Barrington Capital Management, Inc. Location:...
Read Post
Date posted
Apr
8
Compliance Specialist CNL Securities Location: Orlando, FL Position Summary The primary responsibility of the position is to...
Read Post
Date posted
Mar
30
1. What is your role at NSCP, and how do you support our members? As Director of Business Systems & Operations, I bring structure to...
Read Post
Date posted
Mar
9
The SEC’s Marketing Rule continues to be an area of heightened regulatory attention—and recent exam findings suggest that many firms...
Read Post
Date posted
Dec
29
Client complaints are an inevitable part of doing business in financial services—but how firms respond to them can significantly influence...
Read Post
Date posted
Dec
17
Washington, DC (December 17, 2025) — The National Society of Compliance Professionals (NSCP) is proud to announce its recognition at the 2025...
Read Post
Date posted
Nov
6
Washington, DC (November 6, 2025) – The National Society of Compliance Professionals (NSCP) pleased to announce that Heather Traeger, General...
Read Post