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NetProspex Directory of Contacts
Industry: Mutual Funds & Investment Managers
Job Title: Compliance & Governance
 
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Directory of Compliance & Governance executives in the Mutual Funds & Investment Managers industry :
Showing 100 of 359 Contacts
Title
City, State
Company
Regulatory Attorney
New York, NY
Citigroup Inc.
Executive Vice President, Global Head of ...
New York, NY
Goldman , Sachs & Co.
AML Corporate Compliance
New York, NY
J.P. Morgan Chase & Co.
Compliance Director, Assistant General Co...
New York, NY
J.P. Morgan Chase & Co.
Compliance Specialist
Springfield, MA
Massachusetts Mutual Life I...
Global Compliance Associate
New York, NY
Morgan Stanley
Vice President, Compliance
New York, NY
Morgan Stanley
Corporate Vice President of Compliance
Sea Girt, NJ
New York Life Insurance Com...
Vice President In the Corporate Complianc...
Sea Girt, NJ
New York Life Insurance Com...
Chief Compliance Officer
Charlotte, NC
Wachovia Corp.
Chief Regulatory Counsel
Charlotte, NC
Wachovia Corp.
Senior Vice President of Compliance
Charlotte, NC
Wachovia Corp.
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.
Managing Director and Chief Compliance Of...
Chicago, IL
Nuveen Investments , Inc.
Compliance Manager
Chicago, IL
Nuveen Investments , 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
Chief Compliance Officer
San Francisco, CA
First Republic Bank
Managing Director for Governance Services
New York, NY
Standard & Poor's
Head Corporate Governance Services
New York, NY
Standard & Poor's
Chief Compliance Director, Secretary
Chicago, IL
Morningstar , Inc.
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
San Francisco, CA
Wells Capital Management
Vice President and Chief Compliance Officer
Denver, CO
Dividend Capital
Chief Compliance Officer
Chicago, IL
K.G. Redding & Associates LLC
Chief Financial Officer and Operations an...
Medford, NY
Soundview Capital Opportuni...
Chief Compliance Officer
Buffalo, NY
Saperston Companies
Compliance Officer and A Member of the In...
Plymouth Meeting, PA
Urdang & Associates
DST Regulatory Tax Advisory Committee
Kansas City, MO
DST Systems , Inc.
Senior Regulatory Compliance Analyst
Kansas City, MO
DST Systems , Inc.
Chief Compliance Officer and Head of Comp...
Wayne, PA
SunGard
Manager, Corporate Governance
Toronto, ON
Creststreet Limited Partner...
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...
Senior Vice President, Chief Financial Of...
San Francisco, CA
Callan Associates Inc.
Director, Compliance
San Francisco, CA
Conifer Securities , LLC
Chief Operations and Compliance Officer
Suite B Darien, CT
Euro Pacific Capital , Inc.
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
General Counsel and Chief Compliance Officer
San Francisco, CA
Global Crown Capital , LLC
Director, Compliance
San Francisco, CA
Global Crown Capital , LLC
Chief Financial Officer and Chief Complia...
Scottsdale, AZ
HSL Financial Group LLC
Strategic Business Planner and Chief Comp...
Coconut Grove, FL
Investor Solutions , Inc.
Chief Compliance Officer
San Francisco, CA
McMorgan & Company
Vice President, Compliance
San Francisco, CA
McMorgan & Company
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
Vice President, General Counsel and Chief...
Carmel, IN
Advisors , Inc.
Dual Role of General Counsel and Chief Co...
Boston, MA
Boston Advisors , Inc.
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
Senior Vice President and Corporate Compl...
Indianapolis, IN
City Securities Corporation
Chief Operating Officer and Chief Complia...
Williamstown, MA
Dion Money Management , Inc.
Compliance Officer
Boston, MA
Fortis Investments
Chief Compliance Officer
Pittsburgh, PA
Hilliard Lyons Inc
Chief Compliance Officer
Chicago, IL
Holland Capital Management L.P
Senior Vice President, Chief Compliance O...
Boston, MA
Independence Investment LLC
Managing Director, General Counsel, Chief...
Birmingham, MI
Munder Capital Management
Chief Compliance Officer
Boston, MA
Northeast Investors
Vice President and Compliance Officer
Champaign, IL
Pinnacle Fund Management , ...
SENIOR Vice President and CHIEF COMPLIANC...
Silver Spring, MD
Profit Investment Management
VICE PRESIDENT, ADMINISTRATION and COMPLI...
Silver Spring, MD
Profit Investment Management
Compliance Analyst
Chicago, IL
Shay Assets Management , Inc.
Chief Compliance Officer
Baltimore, MD
T. Rowe Price
Vice President and Chief Compliance Officer
Louisville, KY
Veredus Asset Management LLC
Managing Director, Chief Compliance Offic...
Minneapolis, MN
Voyageur Asset Management LLC
Chief Investment Officer and Chief Compli...
Gainesville, GA
Willis Investment Counsel ,...
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.
Chief Operation Officer and Chief Complia...
New York, NY
Clear Asset Management LLC
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
Charlotte, NC
EASTOVER CAPITAL MANAGEMENT...
Chief Compliance Officer
New York, NY
General American Investors ...
Chief Compliance Officer
Los Angeles, CA
GoldenTree Asset Management LP
Compliance Officer
Syosset, NY
JPR Capital
Chief Compliance Officer, Senior Vice Pre...
New York, NY
Lazard Asset Management LLC
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
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