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Firms seeking to hire financial professionals should review the following instructions in order to submit new career opportunities:

New career opportunity postings should be emailed to and must include:

  • Hiring firm’s name and the state where it is located.
  • Job title and brief description (up to 750 characters) of the position.
  • Date the posting should begin.

You may also optionally include:

  • A PDF with an extended description of the opening.
  • Date the posting should expire.

Disclaimer: While this service is currently provided free of charge, this is subject to change.

Firm Name Position State Date Added
Nuveen Investments, Inc. Senior Compliance Analyst, AVP CA9/22/16

The Senior Compliance Analyst is responsible for testing policies and procedures for compliance with Rule 206(4)-7 as well as supporting the CCO in a wide-range of ad hoc projects for the two Los Angeles affiliates. The analyst is expected to develop a complete knowledge of each affiliate and its products, internal policies and procedures and regulatory requirements related to their respective Compliance Programs. Additionally, the analyst will also develop credibility and solid working relationships with personnel in other shared services departments in order to identify conflicts and risks which could impact the affiliates.

Download Extended Description…


Moors & Cabot Investments Sales Assistant/Administrator FL8/29/16

Sales Assistant/Administrator needed for Winter Park, FL, investment firm. Full time position. Experience required. Please contact Tony Dorval for more information at 407-691-5350 email