Date posted
Jun
15
In an NSCP Currents Live webinar, Bryan Jacobsen, Chief Compliance Officer, Crux Capital Securities; Robert Lavigne, Chief Compliance Officer,...
Read PostNews
Check back regularly for news and updates from NSCP.
Date posted
Jun
5
Broker Dealer Compliance Officer - Junior JonesTrading Institutional Services Location: New York, NY, Thousand Oaks, CA or...
Read Post
Date posted
May
27
Laura Papera is NSCP’s Director of Association Engagement 1. What is is your role at NSCP, and how do you support our members? As the...
Read Post
Date posted
May
22
Senior Compliance Manager CAPTRUST Location: Raleigh Overview We are looking for a Senior Compliance Manager who will be...
Read Post
Date posted
May
19
Compliance Associate Revelation Partners Location: Sausalito, CA or will consider remote in UT Company Overview Revelation...
Read Post
Date posted
May
18
Senior Compliance Officer, Surveillance J.W. Cole Financial, Inc. Location: Tampa, FL (on-site) Overview J.W. Cole is a...
Read Post
Date posted
May
18
Senior Compliance Officer - Risk Management J.W. Cole Financial, Inc. Location: Tampa, FL (on-site) Overview J.W. Cole is a...
Read Post
Date posted
May
18
Branch Examiner J.W. Cole Financial, Inc. Location: Tampa, FL Overview J.W. Cole is a Tampa-based Broker-Dealer and...
Read Post
Date posted
Apr
30
Hello Members:As we continue advancing NSCP’s priorities in 2026, I want to take a moment to share more about the vision behind NSCP’s...
Read Post
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 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