Santander
Financial Services
USASr.Associate,InvestmentSupervision
Neural analysis suggests this role is
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“USA Sr. Associate, Investment Supervision at Santander. Skills: Investment Supervision, Compliance, FINRA rules, Industry regulations, Regulation Best Interest / suitability, Trade surveillance, Risk identification and escalation. Oversees a group of Financial Advisors to ensure compliance with FINRA rules and industry regulations. Reviews new accounts, trade activity and daily trade blotters”
What You'll Achieve.
Ensure compliance with FINRA rules and industry regulations; Resolve any documentation deficiencies; Escalate cases as deemed appropriate; Ensure timely closure of identified surveillance issues; Continue improving our review process effectiveness
Industry & Context.
Intellectual curiosity and problem solving skills
Bilingual English/Spanish
What They're Looking For.
Must Have
Bilingual English/Spanish, FINRA Series 7, FINRA Series 24, Solid understanding of applicable Federal and State laws applicable to SEC registered broker-dealer
Nice to Have
Bachelor's Degree or equivalent work experience: Sales Supervision, Compliance, Risk or equivalent field, FINRA Series 53, FINRA Series 4, Experience in Microsoft Office products
What You'll Do.
Oversees a group of Financial Advisors to ensure compliance with FINRA rules and industry regulations
trade activity and daily trade blotters
Works directly with Financial Consultants and field managers to resolve any documentation deficiencies and escalate cases as deemed appropriate
evaluates and documents trades for Regulation Best Interest / suitability in accordance with FINRA rules and industry regulations
Reviews and assesses best interest / suitability associated with new accounts and /or products
Partners with Directors in the field to help them resolve exceptions in a timely manner
Reviews transaction exceptions reports using rules based processes and close noted trade alerts
Raises inquiries for suspicious trades and communication red flags
conduct research independently and deeply
and communicate in accordance with the established procedure
and ensure timely closure of identified surveillance issues
Works with Compliance
Operations and other Santander functions closely to research industry trends and peer practice
and continue improving our review process effectiveness
Develops knowledge of financial markets
asset management and financial regulations in order to build a deep understanding of investment/trading risks
Provides backup coverage and cross-train others
How You'll Work.
Team & Collaboration
Partners with Directors in the field; Works with Compliance, Operations and other Santander functions closely; Maintaining appropriate levels of collaboration and cooperation with other team members
Communication Scope
Excellent written (drafting & editing) and spoken communication abilities; communication skills and the ability to interact confidently with others
Full Job Description
USA Sr. Associate, Investment Supervision Country: United States of America **It Starts Here:** Santander is a global leader and innovator in the financial services industry and is evolving from a high-impact brand into a technology-driven organization. Our people are at the heart of this journey and together, we are driving a customer-centric transformation that values bold thinking, innovation, and the courage to challenge what’s possible. This is more than a strategic shift. It’s a chance for driven professionals to grow, learn, and make a real difference. If you are interested in exploring the possibilities **We Want to Talk to You!** **The Difference You Make:** The Sr. Associate, Investment Supervision oversees a group of Financial Advisors to ensure compliance with FINRA rules and industry regulations. The incumbent reviews new accounts, trade activity and daily trade blotters as a player/coach. The Sr. Associate, Investment Supervision works directly with Financial Consultants and field managers to resolve any documentation deficiencies and escalate cases as deemed appropriate. * Identifies, evaluates and documents trades for Regulation Best Interest / suitability in accordance with FINRA rules and industry regulations. * Reviews and assesses best interest / suitability associated with new accounts and /or products. * Partners with Directors in the field to help them resolve exceptions in a timely manner. * Reviews transaction exceptions reports using rules based processes and close noted trade alerts. * Raises inquiries for suspicious trades and communication red flags, conduct research independently and deeply, and communicate in accordance with the established procedure, and ensure timely closure of identified surveillance issues. * Works with Compliance, Operations and other Santander functions closely to research industry trends and peer practice, and continue improving our review process effectiveness. * Develops knowledge of financial markets, asset m
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