- Coinbase (Austin, TX)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- 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...covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap … more
- US Bank (Irving, TX)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC...Corporate and Commercial Banking business lines The Senior Audit Manager also has strong knowledge of Compliance … more
- Scotiabank (Dallas, TX)
- Senior Manager , GBM&T Compliance Testing, International Banking **Requisition ID:** 247734 **Employee Referral Program - Potential Reward:** $3,500.00 **Salary ... exam support, including testing or audit background. * Background in broker - dealer inspections, institutional trading & sales, investment banking, futures… more
- Robert Half Management Resources (Dallas, TX)
- …operational effectiveness. Requirements * 10-15 years of experience in internal audit, compliance , or broker - dealer operations. * Extensive knowledge of ... to lead and develop the internal audit function for a dynamic clearing broker - dealer organization. This strategic role involves building audit frameworks that… more
- Charles Schwab (Westlake, TX)
- …the opportunity for dynamic and engaging compliance professional to join our Compliance Trade Surveillance Team as a Senior Manager , Digital Asset Trade ... behavior. The Senior Manager will report to the Director, Head of Compliance Data Analytics, Monitoring and Trade Surveillance and lead the team's execution of… more
- 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 **Salary Range:** - _Please note that the Salary Range shown is a guideline… more
- Scotiabank (Dallas, TX)
- …international banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/swap dealer businesses. + A ... Senior Manager , US Regulatory Obligations Lead **Requisition ID:** 247598...Controls Lead in (i) the development of the US Compliance Department's processes for tracking legal and regulatory developments… more
- Guardian Life (Austin, TX)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Charles Schwab (Westlake, TX)
- …in Finance/Economics; 5+ years in settlement operations (including derivatives) within broker / dealer or banking environments. + **Technical Expertise** : Strong ... This role is expected to be in the office 4 days a week. As ** Manager of Treasury Settlement Services** (TSS), you'll play a vital role in ensuring the accuracy… more