Scotiabank · 2 days ago
Manager, Compliance Testing
Dallas, TX
Full-time
Onsite
Mid, Senior Level
$77K/yr - $142K/yr
5+ years expScotiabank is a leading bank in the Americas, and they are seeking a Manager for their Compliance Testing team. The primary responsibility of this role is to support compliance testing for Scotiabank’s U.S. operations, ensuring adherence to regulations and internal policies while managing relationships with stakeholders.
BankingFinanceFinancial Services
Responsibilities
Support Compliance Testing Program in conducting reviews based upon the regulatory requirements, processes, policies, procedures to assess controls within the first and second lines of defense
Understand the applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations
Assist team in responding to regulatory inquiries, initiatives, audits and examinations
Support reviews through the planning/scoping, fieldwork and reporting phases
Escalate potential issues and exception items noted during the review process to senior management
Ensure that the stakeholders respond with appropriate action to address all draft recommendations and deficiencies noted during the fieldwork process
Perform required administrative responsibilities in support of testing, including but not limited to:
Preparing and entering all issues and observations into central repository
Prepare and distribute testing reports to senior management detailing review findings and recommendations
Prepare Workpapers documenting testing with enough detail that a third party can reasonably understand
Provide assistance with the Team’s collective issues management and validation testing efforts
Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions
Building and managing relationships with stakeholders across the business and peers within compliance
Qualification
Required
A minimum of 5 years of compliance, audit or regulatory exam support experience with at least 3 of which should involve compliance testing or audit
Experience/background in compliance applicable to broker-dealer internal inspections, institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management, and corporate functions within investment or commercial bank or institutional broker-dealer
Familiarity with applicable SEC, FINRA, CFTC, NFA, Federal Reserve and state banking rules applicable to international banks conducting institutional trading & sales, investment banking, investment management, and commercial banking in the U.S
Strong attention to detail
Ability to communicate well across all levels of an organization
Strong ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines
Strong written and verbal communication skills
Ability to work independently
Excellent teamwork, interpersonal and conflict resolution skills
Highly organized and capable of dealing with complex projects
BA or international equivalent
Benefits
Flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs.
Company
Scotiabank
Scotiabank is a banking firm that provides banking and financial services.
10001+ employees
H1B Sponsorship
Scotiabank has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (52)
2024 (55)
2023 (29)
2022 (38)
2021 (38)
2020 (15)
Funding
Current Stage
Public CompanyTotal Funding
$1.07B2024-04-17Post Ipo Debt· $1.07B
1972-03-01IPO
Leadership Team
Jabar Singh
President & CEO Scotiabank Colpatria (Colombia) & Head Central America & Caribbean
L.Scott Thomson
President and CEO
Recent News
Canada NewsWire
2025-12-24
Company data provided by crunchbase