• Senior Audit Manager - Wealth Management, Capital…

    US Bank (Irving, TX)
    …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Wealth Operations, Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC Regulations, FINRA… more
    US Bank (01/10/26)
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  • Manager, Compliance Testing

    Scotiabank (Dallas, TX)
    …should involve compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager, Compliance Testing **Requisition ID:** 245239 **Salary Range:** -...banking, investment management, and corporate functions within investment or commercial bank or institutional broker - dealer … more
    Scotiabank (12/17/25)
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  • Senior Manager, GBM&T Compliance Testing,…

    Scotiabank (Dallas, TX)
    …exam support, including testing or audit background. * Background in broker - dealer inspections, institutional trading & sales, investment banking, futures ... Senior Manager, GBM&T Compliance Testing, International Banking **Requisition ID:** 247734 **Employee...commission merchant, swap dealer activities, commercial banking, investment management, and… more
    Scotiabank (01/15/26)
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  • Senior Manager, Compliance Risk Analytics…

    Scotiabank (Dallas, TX)
    …international banking organization with institutional trading & sales, investment banking, or institutional broker dealer . + A minimum of 5 years of experience ... Senior Manager, Compliance Risk Analytics and Reporting **Requisition ID:** 247620...range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and… more
    Scotiabank (01/15/26)
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  • Senior Manager, US Regulatory Obligations Lead

    Scotiabank (Dallas, TX)
    …international banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/swap dealer businesses. + A ... Obligations and Controls Lead in (i) the development of the US Compliance Department's processes for tracking legal and regulatory developments across various US… more
    Scotiabank (01/14/26)
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  • Capital Markets Senior Associate

    Capital One (Plano, TX)
    …experience + FINRA Series 7, 79 or 99 license + 4+ years of experience in Broker Dealer + 4+ years of experience with Asset-Backed Securities + 4+ years of ... of working virtually at home? Then a Capital One Commercial Ops role may be the role for you!...causing trades not to settle + Work with clearing broker and client back offices to ensure accurate bookings… more
    Capital One (01/02/26)
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