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| Post Date |
Job Title |
Company |
Location |
| May 17, 2012 |
Compliance Consultant |
Mercer |
Boston, MA |
| May 17, 2012 |
Compliance Officer |
Muzinich & Co., Inc. |
New York City, New York |
| May 16, 2012 |
Chief Compliance Officer |
Hillview Capital Advisors, LLC |
Radnor, PA |
| May 16, 2012 |
Consultant Corporate Compliance |
Nationwide |
Columbus , OH |
| May 14, 2012 |
Surveillance Specialist |
NEXT Financial Group, Inc. |
Houston, Texas |
| May 14, 2012 |
Branch Office Examiner |
NEXT Financial Group, Inc. |
Houston, Texas |
| May 10, 2012 |
Accountants |
US Securities and Exchange Commission |
Philadelphia, PA |
| May 10, 2012 |
Securities Compliance Examiners |
US Securities and Exchange Commission |
Philadelphia, PA |
| May 10, 2012 |
Compliance Analyst |
i-Hire Inc |
El Segundo, California |
| May 9, 2012 |
Frost Investment Advisors - Compliance Analyst |
Frost Investment Advisors, LLC |
San Antonio, Texas |
| May 9, 2012 |
Vice President, Business Process and Risk Management |
Charles Schwab & Co., Inc. |
Phoenix, AZ |
| May 9, 2012 |
Consultant, Corporate Compliance |
Nationwide |
Columbus, OH |
| May 8, 2012 |
Compliance Business Analyst |
Fidelity Investments |
Fort Worth, Texas |
| May 7, 2012 |
Manager, PWI Audit |
Fidelity Investments |
Dallas, Texas |
| May 4, 2012 |
Compliance Rep 2 - Mutual Fund Advertising Review |
US Bancorp Fund Services / Quasar Distributors, LLC |
Milwaukee, Wisconsin |
| May 3, 2012 |
Senior Equity Compliance Officer |
Rockwood Search Compliance Consulting |
New York City Area, New York |
| May 2, 2012 |
Compliance Associate |
Tradition Asiel Securities Inc. |
New York, New York |
| May 2, 2012 |
Compliance Manager |
NEXT Financial Group, Inc. |
Houston, TX |
| May 2, 2012 |
Controller/FinOp - consulting to perm |
Rockwood Search Compliance Consulting |
New York, NY |
| May 1, 2012 |
NYC Compliance Coordinator/$5+ billion hedge fund manager |
Rockwood Search Compliance Consulting |
New York, NY |
| May 1, 2012 |
NYC Community Banking Compliance Manager/Management Consulting Firm |
Rockwood Search Compliance Consulting |
New York, NY |
| May 1, 2012 |
$30+ billion global PE fund manager seeks US Compliance Associate in NYC |
Rockwood Search Compliance Consulting |
New York, NY |
| May 1, 2012 |
Large NYC hedge fund seeks Sr. Surveillance/MNPI pro |
Rockwood Search Compliance Consulting |
New York, NY |
| Apr 27, 2012 |
COMPLIANCE PRODUCT ANALYST - INVESTMENT ADVISORY |
Stifel, Nicolaus & Company, Incorporated |
St. Louis, Missouri |
| Apr 27, 2012 |
Deputy Chief Compliance Officer |
First Republic Investment Management, Inc. |
New York, NY |
| Apr 27, 2012 |
Compliance Analyst- Fixed Income |
Prudential |
Newark, New Jersey |
| Apr 23, 2012 |
Compliance Specialist / Auditor |
ValMark Securities, Inc. |
Akron, Ohio |
| Apr 23, 2012 |
IA/BD Chief Compliance Officer |
NEXT Financial Group, Inc. |
Houston, TX |
| Apr 19, 2012 |
Manager, Branch Examinations |
National Financial Partners |
Austin, Texas |
| Apr 17, 2012 |
Compliance Manager - Investments-ALL02179 |
Allstate |
Northbrook, Illinois |
| Apr 13, 2012 |
Compliance Officer |
Invesco |
NYC/CHI/ATL/HOU/LOUI, Multiple |
| Apr 12, 2012 |
Policy, Training and Advertising Compliance Officer |
SUNTRUST |
ATLANTA, GA |
| Apr 12, 2012 |
AML Compliance Officer |
The Edelman Financial Group |
Houston, TX |
| Apr 12, 2012 |
Senior Compliance Officer |
Genworth Financial |
Pleasant Hill, California |
| Apr 5, 2012 |
Compliance Manager |
AEGON USA Investment Management, LLC |
Cedar Rapids, Iowa |
| Apr 5, 2012 |
Senior Compliance Analyst |
Pacific Life Insurance Company |
Newport Beach, CA |
| Mar 28, 2012 |
RIA Compliance Officer |
NEXT Financial Group, Inc. |
Houston, TX |
| Mar 27, 2012 |
Compliance Administrator |
Legend Equities Corporation |
Palm Beach Gardens, Florida |
| Mar 23, 2012 |
Licensing and Registration Analyst |
Eaton Vance |
Boston, MA |
| Mar 22, 2012 |
Compliance Manager |
Artisan Partners |
Milwaukee, WI |
| Mar 21, 2012 |
Administrative Assistant |
Foreside Financial Group, LLC |
Portland, Maine |
| Mar 21, 2012 |
Chief Compliance Officer |
Global Financial Private Capital |
Sarasota, Florida |
| Mar 13, 2012 |
Compliance Manager |
Salient Partners, LP |
Houston, Texas |
| Mar 13, 2012 |
Compliance Specialist |
Charles Schwab & Co., Inc. |
Boston, Massachusetts |
| Mar 13, 2012 |
Wealth and Investment Compliance Officer |
SUNTRUST |
Atlanta, GA |
| Mar 13, 2012 |
Chief Compliance Officer |
Quantitative Advantage |
Minnetonka, MN |
| Mar 7, 2012 |
Compliance Director, Product & Marketing, Individual Life Insurance |
Prudential Financial |
Newark, New Jersey |
| Mar 5, 2012 |
Senior Compliance Officer |
Herndon Capital Management, LLC |
Atlanta, GA |
| Mar 5, 2012 |
Compliance Officer |
Ares Management |
LA; NYC; Chicago, CA / NY / IL |
| Mar 2, 2012 |
Regulatory and Complaint Officer |
SUNTRUST |
Atlanta, GA |
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