Home > Industry List > Mutual Funds & Investment Managers > Job Title List > Compliance & Governance
Bookmarks: Bookmark on del.icio.us Bookmark on Digg Bookmark on Reddit Bookmark on Google Bookmark on Yahoo
Join Now
 
NetProspex Directory of Contacts
Industry: Mutual Funds & Investment Managers
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 Mutual Funds & Investment Managers industry :
Showing 100 of 357 Contacts
Title
City, State
Company
Executive Vice President, Global Head of ...
New York, NY
Goldman, Sachs & Co.
Global Compliance Associate
New York, NY
Morgan Stanley
Corporate Vice President of Compliance
New York, NY
New York Life Insurance Com...
Vice President In the Corporate Complianc...
New York, NY
New York Life Insurance Com...
Compliance Analyst
Boston, MA
State Street Corp.
Vice President - Director of Investment C...
Boston, MA
State Street Corp.
Compliance Committee Member
Boston, MA
State Street Corp.
Ethics and Regulatory Vice President
Atlanta, GA
SunTrust Banks, Inc.
Vice President, Legislative and Regulator...
San Francisco, CA
The Charles Schwab Corporation
Compliance Manager
Chicago, IL
Nuveen Investments, Inc.
Chief Regulatory Officer
Silverdale, WA
Waddell & Reed, Inc.
Director, Regulatory Compliance Taxation ...
Silverdale, WA
Waddell & Reed, Inc.
Chief Compliance Officer
Pittsburgh, PA
Federated Investors, Inc.
Head Corporate Governance Services
New York, NY
Standard & Poor's
Vice President, Compliance
Toronto, ON
Mutual Fund Dealers Associa...
Director of Policy and Regulatory Affairs
Toronto, ON
Mutual Fund Dealers Associa...
Director Regulatory Affairs
Plymouth, MI
Michigan Credit Union League
Regulatory Compliance Consultant
Plymouth, MI
Michigan Credit Union League
Compliance Helpline Consultant
Plymouth, MI
Michigan Credit Union League
Executive Vice President of Operations, C...
Orinda, CA
Kensington Investment Group...
Chief Compliance Officer
Buffalo, NY
Saperston Companies
DST Regulatory Tax Advisory Committee
Kansas City, MO
DST Systems, Inc.
Chief Compliance Officer and Head of Comp...
Wayne, PA
SunGard
Manager, Corporate Governance
Toronto, ON
Creststreet
ADA Compliance Specialist
Chicago, IL
Northern Trust Corporation
Vice President, Compliance
Chicago, IL
Northern Trust Corporation
Senior Vice President, Managing Director,...
Pleasant Hill, CA
AssetMark Investment Servic...
Director, Compliance
San Francisco, CA
Conifer Securities, LLC
Chief Operations and Compliance Officer
Darien, CT
Euro Pacific Capital, Inc.
Chief Compliance Officer
Scottsdale, AZ
Foothills Asset Management Ltd
Chief Compliance Officer
San Francisco, CA
Forward Funds Inc
Compliance Officer
Denver, CO
Founders Asset Management LLC
General Counsel and Chief Compliance Officer
San Francisco, CA
Global Crown Capital, LLC
Chief Financial Officer and Chief Complia...
Scottsdale, AZ
HSL Financial Group LLC
Account and Compliance Manager
Aspen, CO
Obermeyer Asset Management ...
Chief Compliance Officer
San Francisco, CA
Progress Investment Managem...
Principal, Chief Operating Officer, Chief...
Los Angeles, CA
Reed, Conner & Birdwell, LLC
Chief Compliance Officer
San Francisco, CA
RS Investments Co
General Counsel and Compliance Officer
Boston, MA
Boston Advisors, Inc.
Chief Compliance Officer
Baltimore, MD
Brown Advisory
Chief Compliance Officer - Calvert Funds
Bethesda, MD
Calvert Group Ltd
Senior Vice President and Corporate Compl...
Indianapolis, IN
City Securities Corporation
Chief Operating Officer and Chief Complia...
Williamstown, MA
Dion Money Management, Inc.
Chief Compliance Officer
Louisville, KY
Hilliard Lyons Inc
Chief Compliance Officer
Chicago, IL
Holland Capital Management L.P
Senior Vice President and Chief Complianc...
Boston, MA
Independence Investment LLC
Chief Compliance Officer
Boston, MA
Northeast Investors
Compliance Analyst
Chicago, IL
Shay Assets Management, Inc.
Vice President and Chief Compliance Officer
Louisville, KY
Veredus Asset Management LLC
Managing Director, Chief Compliance Offic...
Minneapolis, MN
Voyageur Asset Management LLC
Chief Compliance Officer
Roseland, NJ
Access Wealth Planning LLC
Operations and Compliance Manager
Lake Oswego, OR
Auxier Asset Management LLC
Vice President, Compliance Officer
New York, NY
Clay Finlay Inc.
Treasurer, Controller and Compliance Officer
New York, NY
Clay Finlay Inc.
IACCPsm Vice President, Compliance Officer
Vineland, NJ
Cumberland Advisors, Inc.
Managing Director and Chief Compliance Of...
New York, NY
Domini Social Investments LLC
Chief Compliance Officer
Los Angeles, CA
GoldenTree Asset Management LP
Compliance Officer
Syosset, NY
JPR Capital
Chief Compliance Officer
Jenkintown, PA
Matthew 25 Fund Inc
Compliance Officer and Finance Manager
Omaha, NE
Meridian Capital Management...
Senior Vice President In Legal and Compli...
Chicago, IL
Mesirow Financial Inc
Chief Compliance Officer
Parsippany, NJ
New York Life Investment Ma...
Director of Accounting and Chief Complian...
Akron, OH
Oak Associates Ltd.
Vice President, Chief Operating Officer a...
Mansfield, OH
R.M. Davis, Inc.
Compliance Officer
New York, NY
SCIENS CAPITAL MANAGEMENT LLC
Vice President, Controller and Chief Comp...
Cincinnati, OH
Summit Investment Partners Inc
Chief Compliance Officer
New York, NY
The Arbitrage Fund
Compliance Officer
New-york, NY
The Olympia Group of Companies
Chief Compliance Officer
Cleveland, OH
Victory Capital Management
Chief Financial Officer, Chief Compliance...
Philadelphia, PA
Walnut Asset Management, LLC
Chief Executive Officer, Chief Compliance...
San Antonio, TX
Austin, Calvert & Flavin, Inc.
Vice President, General Counsel, Chief Co...
Winnipeg, MB
Cardinal Capital Management...
Director, Compliance and Privacy Officer
Toronto, ON
Elliott & Page Limited
Chief Operating Officer, Chief Compliance...
Madison, WI
Holt-Smith & Yates Advisors...
President, Chief Executive Officer and Ch...
Racine, WI
Johnson Asset Management
Compliance Officer
Seattle, WA
Kunath Karren Rinne & Atkin...
Vice President and Chief Compliance Officer
Dallas, TX
Lee Financial Corporation
Vice President, Chief Compliance Officer ...
Dallas, TX
Placemark Investments Inc
Chief Compliance Officer, Director and A ...
Vancouver, BC
Qwest Energy Corp
Chief Compliance Officer
San Antonio, TX
South Texas Money Managemen...
Director, Finance and Administration and ...
Houston, TX
Vaughan Nelson Investment M...
Chief Compliance Officer
Unionville, ON
W. H. Stuart & Associates
Chief Compliance Officer
Heathrow, FL
The Newport Group
Head of Operations and Chief Compliance O...
San Francisco, CA
Diversified Credit Investments
Chief Compliance Officer
Newport Beach, CA
Knightsbridge Asset Managem...
Senior Vice President, Deputy General Cou...
New York, NY
AllianceBernstein L.P.
Chief Compliance Officer
New York, NY
Legend Merchant Group, Inc.
Managing Director, Chief Compliance Officer
New York, NY
Needham & Company, Inc.
Treasurer, Director of Compliance and Bus...
Durham, NC
Oak Value Capital Managemen...
Vice President and Chief Compliance Officer
New York, NY
York Capital Management
General Counsel and Chief Compliance Officer
Arlington, VA
Emerging Markets Management...
Chief Compliance Officer
Toronto, ON
Genuity Capital Markets
Chief Compliance Officer
Purchase, NY
Mvc Capital, Inc.
Vice President, US Regulatory Affairs
New York, NY
OrbiMed Advisors LLC
Chief Compliance Officer
New York, NY
Sandler Capital Management
Chief Compliance Officer and Attorney
Austin, TX
Century Management Company
Chief Compliance Officer
San Juan, PR
Consultiva Internacional, Inc.
Business and Compliance Manager
Little Rock, AR
Financial Management Inc
Vice President, Director of Compliance an...
San Mateo, CA
Fuller & Thaler Asset Manag...
Chief Compliance Officer
Fort Worth, TX
Green Investment Management...
Can't find what you are looking for? Search NetProspex Live