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| Post Date |
Job Title |
Company |
Location |
| Sep 2, 2010 |
SURVEILLANCE COMPLIANCE OFFICER |
SUNTRUST |
Atlanta, GA |
| Sep 1, 2010 |
Compliance Office- Global Compliance Operations |
Russell Investments |
Tacoma, WA |
| Aug 30, 2010 |
Associate OSJ Consultant |
Waddell & Reed |
Kansas City Metro , Overland Park, KS |
| Aug 25, 2010 |
Chief Compliance Officer |
Diversified Search Odgers Berndtson |
Harrisburg, PA |
| Aug 24, 2010 |
Compliance Director/SA |
Wolfe Trahan |
New York, New York |
| Aug 23, 2010 |
Senior Compliance Advisor |
USAA |
San Antonio, Tx |
| Aug 20, 2010 |
COMPLIANCE EXAMINER SR. |
Freddie Mac |
McLean,VA/Atlanta, VA/GA |
| Aug 20, 2010 |
Regulatory Coordinator |
FINRA |
Various Locations, Various Locations |
| Aug 20, 2010 |
Compliance Examiner |
FINRA |
Various Locations, Various Locations |
| Aug 20, 2010 |
Trading Desk Supervisor |
INTL TRADING, INC. |
Winter Park, Florida |
| Aug 18, 2010 |
Compliance Supervisor |
Cetera Financial Group |
St. Cloud, MN |
| Aug 18, 2010 |
Senior Compliance Officer |
Spot Trading LLC |
Chicago , IL |
| Aug 17, 2010 |
Adviser and Fund Compliance Professional - Consultant |
Vista360 |
Milwaukee, WI |
| Aug 16, 2010 |
Senor Compliance Officer |
Dimensional Fund Advisors |
Austin, TX |
| Aug 16, 2010 |
Fair Lending Compliance Director |
Charles Schwab & Co., Inc. |
Reno, NV |
| Aug 11, 2010 |
Compliance Officer |
Sawgrass Asset Management, LLC |
Jacksonville Beach, Fl |
| Aug 11, 2010 |
Vice President, Trading Oversight, Policy & Regulatory Risk |
TD Asset Management Inc. |
Toronto, ON |
| Aug 11, 2010 |
Chief Compliance Officer |
Savitr Capital |
San Francisco, California |
| Aug 9, 2010 |
Compliance Assistant |
Leonard & Company |
Troy, Michigan |
| Aug 6, 2010 |
Chief Compliance Officer |
Commerce Street Capital, LLC |
Dallas, Texas |
| Jul 27, 2010 |
Compliance Officer |
Amherst Securities Group, LP |
Houston, Texas |
| Jul 27, 2010 |
Senior Compliance Officer |
Amherst Securities Group, LP |
Houston, Texas |
| Jul 27, 2010 |
Senior Compliance Officer |
Brown Advisory |
Baltimore, Maryland |
| Jul 22, 2010 |
Compliance Analyst - Broker Dealer |
Dougherty Financial Group LLC |
Minneapolis, Minnesota |
| Jul 14, 2010 |
Compliance Manager |
www.russell.com |
Tacoma, Washington |
| Jul 14, 2010 |
Portfolio Compliance Manager |
www.russell.com |
Tacoma, Washington |
| Jul 13, 2010 |
Trust & Fiduciary Compliance Director |
Charles Schwab & Co., Inc. |
San Francisco, CA |
| Jul 12, 2010 |
Financial Consultant (Investment Compliance) |
Allstate Investments LLC |
Northbrook, Illinois |
| Jul 8, 2010 |
Frost Investment Advisors - Compliance Specialist |
Frost Bank |
San Antonio, Texas |
| Jul 8, 2010 |
Chief Compliance Officer |
Arnerich Massena, Inc. |
Portland, Oregon |
| Jul 8, 2010 |
Senior Compliance Advisor |
USAA |
San Antonio, Tx |
| Jul 7, 2010 |
Compliance Associate for Advertising |
J.P. Turner & Company |
Atlanta, Georgia |
| Jul 7, 2010 |
Compliance Associate for Audit |
J.P. Turner & Company |
Atlanta, Georgia |
| Jul 6, 2010 |
Compliance Officer |
Synovus Securities Inc |
Atlanta, Georgia |
| Jul 1, 2010 |
Compliance Officer |
Owl Creek Asset Management |
New York, New York |
| Jun 30, 2010 |
Divisional Manager of Business Practices & Controls |
AXA Equitable |
New York, NY |
| Jun 30, 2010 |
Chief Compliance Officer |
USA Tax & Insurance Services/American Investment Services |
Palm Harbor, Fl |
| Jun 23, 2010 |
Compliance Officer |
Heitman |
Chicago, IL |
| Jun 21, 2010 |
Compliance Officer, PCG |
RBC Wealth Management |
Florham Park, NJ |
| Jun 21, 2010 |
Sr. Compliance Manager |
Marsh & McLennan |
New York, New York |
| Jun 17, 2010 |
Regulatory Specialist |
Driehaus Capital Management LLC |
Chicago, Illinois |
| Jun 17, 2010 |
Junior level Registration and Compliance Specialist located in Portsmouth, NH |
AdvisorAssist |
Portsmouth, NH |
| Jun 17, 2010 |
Regional Supervisor / Registration Specialist |
Garden State Securities |
Red Bank, NJ |
| Jun 15, 2010 |
Compliance Administrative Specialist |
OneAmerica |
Indianapolis, IN |
| Jun 8, 2010 |
Adviser and Fund Compliance Professional - Lead Consultant |
Vista360, LLC |
Milwaukee, WI |
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