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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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