Home > Industry List > Investment Banking > Job Title List > Compliance & Governance
 
NetProspex Directory of Contacts
Industry: Investment Banking
Job Title: Compliance & Governance
 
NetProspex executive directory lets sales & marketing professionals find decision makers quickly and easily.
  • More than 2.4m executives listed
  • Search by company, industry or location
  • Accurate & regularly updated
  • Get name, title, company, address, phone & email
  • Quickly create call lists or email campaigns
Directory of Compliance & Governance executives in the Investment Banking industry :
Showing 100 of 467 Contacts
Title
City, State
Company
Chief Compliance Officer
New York, NY
Citigroup Inc.
Dir Compliance/Technology
San Francisco, CA
Global Crown Capital, LLC
VP/COMPLIANCE MANAGER
New York, NY
J.P. Morgan Chase & Co.
Chief Development Officer for Private Cli...
New York, NY
The Bear Stearns Companies ...
Chief Compliance Officer
Columbus, OH
Diamond Hill Capital Manage...
Chief Compliance Officer
Richmond, VA
Scott & Stringfellow, Inc.
Vice President, Chief Operating Officer a...
Mansfield, OH
R.M. Davis, Inc.
Senior Vice President, Chief Compliance O...
Arlington, VA
MCG Capital Corporation
Chief Compliance Officer
New Orleans, LA
Howard Weil Incorporated
Chief Compliance Officer and Vice Preside...
Boston, MA
Hambrecht & Quist Capital M...
General Counsel and Chief Compliance Officer
Bellingham, WA
Saturna Capital Corporation
Chief Compliance Officer
Calgary, AB
Mawer Investment Management...
Chief Compliance Officer
Nashville, TN
Avondale Partners LLC
Legal Counsel and Chief Compliance Officer
Bellingham, WA
Saturna Capital Corporation
Compliance Officer and A Vice President
New York, NY
Goldman, Sachs & Co.
Operations and Chief Compliance Officer
Denver, CO
Alexander Capital Managemen...
Compliance
Vancouver, BC
Salman Partners Inc.
Chief Compliance Officer
Folsom, CA
Brecek & Young Advisors, Inc.
General Counsel and Chief Regulatory Officer
Chicago, IL
Chicago Investment Group, LLC
Treasurer, Controller and Compliance Officer
New York, NY
Clay Finlay Inc.
Regional Compliance Officer
Folsom, CA
Brecek & Young Advisors, Inc.
Compliance Officer
Chicago, IL
Chicago Investment Group, LLC
President, Chief Financial Officer and Co...
Montreal, QC
Beacon Securities Ltd
Managing Director, Chief Compliance Officer
New York, NY
Needham & Company, Inc.
Chief Compliance Officer
Toronto, ON
Fraser Mackenzie Limited
Chief Compliance Officer, Senior Vice Pre...
Chicago, IL
Duff & Phelps Investment Ma...
Director of Corporate Governance
Washington, DC
International Finance Corpo...
Chief Compliance Officer
New York, NY
Provident Group Limited
Chief Compliance Officer and Director of ...
Santa Monica, CA
Roxbury Capital Management,...
Chief Operating Officer and Chief Complia...
Westport, CT
Patriot Capital Funding, Inc.
Secretary and Chief Compliance Officer
Los Angeles, CA
Kayne Anderson MLP Investme...
Corporate Secretary and Chief Compliance ...
Bethesda, MD
American Capital
Vice President, Chief Compliance Officer,...
New York, NY
Mitsubishi International Co...
Senior Vice President In Legal and Compli...
Chicago, IL
Mesirow Financial Inc
Managing Director, Chief Operating Office...
Pittsburgh, PA
Greycourt & Co, Inc.
Chief Compliance Officer
Lexington, SC
Carolina Wealth Management LLC
Chief Compliance Officer
Toronto, ON
Genuity Capital Markets
Principal, Chief Operating Officer and Ch...
Rockland, DE
Guidance Capital LLC
Senior Compliance Officer
St. Louis, MO
Edward Jones Limited
Chief Compliance Officer
Dallas, TX
Hodges Capital Management Inc.
Compliance Specialist
Philadelphia, PA
SES Advisors, Inc.
Portfolio Manager and Investment Committe...
Napa, CA
Harrington Investments Inc
President, Chief Compliance Officer
Pittsburgh, PA
Guyasuta Investment Advisor...
Team Leader - Compliance Service
St. Louis, MO
Edward Jones Limited
Senior Portfolio Manager and Investment C...
Napa, CA
Harrington Investments Inc
Chief Compliance Officer
New York, NY
New Germany Fund Inc
Chief Compliance Officer
Orlando, FL
International Assets Adviso...
Managing Director With the Legal and Comp...
New York, NY
Bear Stearns Asset Manageme...
General Counsel and Chief Compliance Officer
San Francisco, CA
Global Crown Capital, LLC
Operations Manager and Chief Compliance O...
Coconut Grove, FL
Investor Solutions, Inc.
Chief Financial Officer and Compliance Of...
New York, NY
Miller Buckfire Lewis Ying ...
Chief Compliance Officer
New York, NY
Ares Capital Corporation
Controller and Compliance Officer
New York, NY
Samson Capital Advisors, LLC
Partner, General Counsel and Chief Compli...
Washington , Dc, DC
Hudson Fairfax Group LLC
Chief Compliance Officer and Director of ...
Los Angeles, CA
Salem Partners, LLC
Chief Compliance Officer
Austin, TX
Tejas Securities Group, Inc.
Chief Financial Officer, Chief Compliance...
Philadelphia, PA
Walnut Asset Management, LLC
Treasurer, Director of Compliance and Bus...
Durham, NC
Oak Value Capital Managemen...
Chief Financial Officer and Chief Complia...
Mclean, VA
USBX
Vice President, Chief Compliance Officer
New York, NY
India Fund Inc
Head of Compliance
Greenwich, CT
American Technology Researc...
Vice President and Chief Compliance Officer
Morristown, NJ
Bancroft Fund Ltd.
Account and Compliance Manager
Aspen, CO
Obermeyer Asset Management ...
Managing Partner, Chief Financial Officer...
Berwyn, PA
Chartwell Investment Partne...
Trading Compliance Specialist
Minneapolis, MN
Craig-Hallum Capital Group LLC
Chief Compliance Officer
Chicago, IL
RCP Advisors LLC
Vice President, Chief Compliance Officer ...
Chicago, IL
Asset Allocation and Manage...
Compliance Officer
New York, NY
UBS AG
Chief Compliance Officer
Philadelphia, PA
Cohen Bros. & Co.
Managing Director, Chief Compliance Offic...
New York, NY
Laurus Master Fund, Ltd.
Vice President, Financial Analysis and Co...
Bethesda, MD
American Capital
Chief Compliance Officer
Plainsboro, NJ
S&P 500 Geared Fund Inc.
Compliance Officer
Burlington, MA
Mirus Capital Advisors Inc
Compliance Manager
Saint Louis, MO
Fiduciary Asset Management,...
Corporate Functional Officer, Chief Compl...
New York, NY
Mitsubishi International Co...
Compliance Analyst
Chicago, IL
Shay Assets Management, Inc.
Director, Compliance and Technology
San Francisco, CA
Global Crown Capital, LLC
General Counsel and Chief Compliance Offer
Boulder, CO
Agile Group LLC
Vice President - Compliance
Wilmington, DE
Wilmington Trust Corporation
Compliance Officer
Cookeville, TN
Bank of Putnam County
Deputy General Counsel Regulatory
New York, NY
Citigroup Inc.
Chief Compliance Officer
Calgary, AB
Acumen Capital Finance Part...
Compliance Officer, OSJ
Boston, MA
CCR Wealth Management LLC
Member, Corporate Compliance Team
Houston, TX
Stanford Group Company
Compliance Director
New York, NY
Sky Capital Holdings Ltd
Senior Vice President Corporate Support S...
Toronto, ON
Roynat Capital Inc
Member and Chief Compliance Officer
Columbus, OH
Hockman Investment Advisers...
Managing Director and Global Head of Regu...
Washington , Dc, DC
The Carlyle Group
Senior Director, Chief Compliance Officer
New York, NY
IIG Capital, LLC
Chief Compliance Officer
Boca Raton, FL
vFinance, Inc.
Client Services and Compliance Associate
Cincinnati, OH
Johnson Investment Counsel,...
Compliance Associate
San Francisco, CA
Thomas Weisel Partners LLC
Chief Compliance Officer
New York, NY
Legend Merchant Group, Inc.
Senior Vice President and Chief Complianc...
Seattle, WA
Elliott Cove Capital Manage...
Vice President, General Counsel and Chief...
New York, NY
Christian Brothers Investme...
Chief Operating Officer and Chief Complia...
Richmond, VA
TFS Capital LLC
Accounting and Compliance Manager
Washington, DC
Thayer Capital Partners
Director of Compliance
King Of Prussia, PA
Emerging Growth Equities LTD
Director of Operations and Chief Complian...
St. Louis, MO
Missouri Valley Partners, Inc.
Managing Director, Treasurer, Compliance ...
Portland, ME
H.M. Payson & Co.
Can't find what you are looking for? Search NetProspex Live