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NetProspex Directory of Contacts
Industry: Brokerage
Job Title: Compliance & Governance
 
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Directory of Compliance & Governance executives in the Brokerage industry :
Showing 100 of 480 Contacts
Title
City, State
Company
Regulatory Attorney
New York, NY
Citigroup Inc.
Executive Vice President, Global Head of ...
New York, NY
Goldman , Sachs & Co.
Global Compliance Associate
New York, NY
Morgan Stanley
Vice President, Compliance
New York, NY
Morgan Stanley
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.
Managing Director and Chief Compliance Of...
Chicago, IL
Nuveen Investments , Inc.
Compliance Manager
Chicago, IL
Nuveen Investments , Inc.
Chief Compliance Officer
Chicago, IL
optionsXpress Holdings , Inc.
Chief Regulatory Officer
Overland Park, KS
Waddell & Reed , Inc.
Director, Regulatory Compliance Taxation ...
Overland Park, KS
Waddell & Reed , Inc.
Chief Compliance Officer
Pittsburgh, PA
Federated Investors , Inc.
Chief Accounting Officer and Chief Compli...
Oaks, PA
SEI Investments Company
Executive Vice President of Operations, C...
Orinda, CA
Kensington Investment Group...
Manager, Corporate Governance
Toronto, ON
Creststreet Limited Partner...
ADA Compliance Specialist
Chicago, IL
Northern Trust Corporation
Vice President, Compliance
Chicago, IL
Northern Trust Corporation
Chief Compliance Officer
Calabasas, CA
AFA Financial Group LLC
Chief Compliance Officer
Westlake Village, CA
Alliance Advisory & Securit...
Senior Vice President, Managing Director,...
Pleasant Hill, CA
AssetMark Investment Servic...
Senior Vice President and Chief Complianc...
Los Angeles, CA
Associated Securities Corp.
Chief Compliance Officer
St. Petersburg, FL
Awad Asset Management , Inc.
Senior Vice President, Chief Financial Of...
San Francisco, CA
Callan Associates Inc.
President and Chief Compliance Officer
Orange Park, FL
Camarda Financial Advisors Inc
Director, Compliance
San Francisco, CA
Conifer Securities , LLC
General Counsel and Chief Compliance Officer
Weston, FL
CRAFund Advisors Inc
Vice President of Business Affairs, Chief...
Norwalk, CT
EACM Advisors LLC
Vice President and Chief Compliance Officer
Longwood, FL
Empire Financial Holding Co...
Vice President and Chief Compliance Officer
Roseville, CA
ePLANNING Securities Inc
Compliance Manager
Roseville, CA
ePLANNING Securities Inc
Chief Operations and Compliance Officer
Suite B Darien, CT
Euro Pacific Capital , Inc.
Vendor Management Compliance Analyst
Westminster, CO
Fidelity National Asset Man...
Chief Compliance Officer
Torrance, CA
Financial Network Investmen...
Compliance Specialist and Administrative ...
Torrance, CA
Financial Network Investmen...
Vice President, Director of Operations an...
Colorado Springs, CO
First Affirmative Financial...
Chief Compliance Officer
Scottsdale, AZ
Foothills Asset Management Ltd
Chief Compliance Officer
Denver, CO
Forward Funds Inc
Compliance Officer
Denver, CO
Founders Asset Management LLC
Compliance Administrator of Branch Office
Phoenix, AZ
Glass Financial Group , Inc.
General Counsel and Chief Compliance Officer
San Francisco, CA
Global Crown Capital , LLC
Director, Compliance
San Francisco, CA
Global Crown Capital , LLC
Chief Compliance Officer
Carlsbad, CA
Global Resource Investments...
Compliance Officer
Rockland, DE
Guidance Capital LLC
Vice President and Chief Compliance Officer
Aurora, CO
Harrison Douglas , Inc.
Chief Financial Officer and Chief Complia...
Scottsdale, AZ
HSL Financial Group LLC
Vice President, Compliance Officer
Meriden, CT
Infinex Financial Group
Chief Operating Officer and Chief Complia...
Walnut Creek, CA
Insight Capital Research & ...
Strategic Business Planner and Chief Comp...
Coconut Grove, FL
Investor Solutions , Inc.
Managing Director, Chief Compliance Officer
New York, NY
JMP Securities LLC
President and Chief Compliance Officer
Denver, CO
Joseph S. Sturniolo & Assoc...
Chief Compliance Officer
Wilmington, DE
Kalmar Investments Inc.
Compliance Officer
Fort Lauderdale, FL
Kovack Securities Inc
Chief Compliance Officer
Fort Lauderdale, FL
Kovack Securities Inc
Senior Compliance Officer
Fort Lauderdale, FL
Kovack Securities Inc
Compliance Officer
Fort Lauderdale, FL
Kovack Securities Inc
Senior Vice President, Compliance Auditor
Fort Lauderdale, FL
Kovack Securities Inc
Compliance Director
Miami Beach, FL
Life Asset Group LLC
Compliance
Beverly Hills, CA
M.L. Stern & Co.
Chief Compliance Officer
San Francisco, CA
McMorgan & Company
Vice President, Compliance
San Francisco, CA
McMorgan & Company
Chief Compliance Officer
Santa Monica, CA
National Planning Corporation
Chief Compliance Officer
Fairfield, CT
Nutmeg Securities Ltd
Vice President, Compliance Officer and Ad...
Los Angeles, CA
Oakwood Capital Management LLC
Chief Compliance Officer, Chief Finacial ...
San Diego, CA
Pacific American Securities...
Chief Operating and Compliance Officer, S...
Santa Monica, CA
Pacific Income Advisers Inc
Chief Compliance Officer
Santa Barbara, CA
Partnervest Financial Group...
Chief Compliance Officer
Birmingham, AL
ProEquities , Inc.
Chief Compliance Officer
San Francisco, CA
Progress Investment Managem...
Vice President, Chief Operating and Compl...
San Luis Obispo, CA
R.E. Wacker Associates
Assistant Vice President, Compliance Officer
Los Angeles, CA
RCBC Securities Inc
Principal, Chief Operating Officer, Chief...
Los Angeles, CA
Reed , Conner & Birdwell , LLC
Chief Compliance Officer
San Francisco, CA
RS Investments Co
Chief Compliance Officer
Jacksonville, FL
The Householder Group
Vice President of Operations and Compliance
San Diego, CA
WFP Securities Corporation
Vice President, General Counsel and Chief...
Carmel, IN
Advisors , Inc.
Chief Compliance Officer, Investment Expe...
Detroit, MI
Ambassador Capital Manageme...
Dual Role of General Counsel and Chief Co...
Boston, MA
Boston Advisors , Inc.
Chief Compliance Officer
Johnston, IA
Broker Dealer Financial Ser...
Chief Compliance Officer
Baltimore, MD
Brown Advisory
Chief Compliance Officer
Bethesda, MD
Calvert Group Ltd
Chief Compliance Officer - Calvert Funds
Bethesda, MD
Calvert Group Ltd
Operations Manager and Compliance Manager
Atlanta, GA
Capital Investment Advisors...
Chief Investment and Compliance Officer
Indianapolis, IN
CFG Wealth Management Servi...
Senior Vice President and Corporate Compl...
Indianapolis, IN
City Securities Corporation
Chief Operating Officer and Chief Complia...
Williamstown, MA
Dion Money Management , Inc.
Vice President, Chief Compliance Officer
Boston, MA
Dorr Capital Management LLC
Compliance Officer
Boston, MA
Fortis Investments
Chief Financial Officer and Chief Complia...
Baltimore, MD
GARP Research Corporation
Compliance Officer
Lansing, MI
GoPublicToday.com Inc
Director, Licensing and Compliance Section
Lansing, MI
GoPublicToday.com Inc
Compliance Officer
Lansing, MI
GoPublicToday.com Inc
Compliance Officer
Lansing, MI
GoPublicToday.com Inc
Compliance Officer
Lansing, MI
GoPublicToday.com Inc
Chief Compliance Officer
Pittsburgh, PA
Hilliard Lyons Inc
Chief Compliance Officer
Chicago, IL
Holland Capital Management L.P
Chief Compliance Officer
Boston, MA
Income Research and Managem...
Senior Vice President, Chief Compliance O...
Boston, MA
Independence Investment LLC
Vice President and the Chief Compliance O...
Baltimore, MD
MTB Investment Advisors , Inc.
Managing Director, General Counsel, Chief...
Birmingham, MI
Munder Capital Management
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