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 management and financial regulations in order to build a deep understanding of investment/trading risks.
• Provides backup coverage and cross-train others.

What You Bring:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Bilingual English/Spanish. - Required.

• Bachelor's Degree or equivalent work experience: Sales Supervision, Compliance, Risk or equivalent field. - Preferred.

• 9+ Years Supervision, compliance, audit, or regulatory experience. - Preferred.

• Strong analytical background with the ability to analyze and summarize findings in a concise and clear format Excel.
• Detailed oriented and possess high ethical standards.
• Knowledge of Equity, FX, Credit, Structured Products, Alternatives trading and investment, and/or experience working in the front desk, risk, regulatory, legal or audit fields.
• Ability to operate independently within guidelines, policies, directives and established precedence.
• Strong technical skills, particularly with respect to Microsoft Excel.
• Genuine interest in and understanding of financial markets.
• Familiarity with a broad range of asset classes, including derivatives.
• Strong communication skills and the ability to interact confidently with others.
• Ability to work independently with minimal supervision, while also maintaining appropriate levels of collaboration and cooperation with other team members.
• Intellectual curiosity and problem solving skills.
• Sensitivity and tact must be especially evident in the performance of trade monitoring.
• Solid understanding of applicable Federal and State laws applicable to SEC registered broker-dealer.
• Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
• Sound judgment in identifying risks in order to proactively escalate with relevant senior management.
• Excellent written (drafting & editing) and spoken communication abilities.
• Excellent teamwork, interpersonal and conflict resolution skills.

Certifications:

• FINRA (Financial Industry Regulatory Authority): FINRA Series 7 and Series 24 (Series 9 and 10, may replace the requirements for Series 24). - Required.
• FINRA (Financial Industry Regulatory Authority): FINRA Series 53 and Series 4 - Preferred.

It Would Be Nice For You To Have:

• Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.
• Experience in Microsoft Office products.

What Else You Need To Know:

The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience, training, licensure and certifications and location.

Base Pay Range:

Minimum:

We Value Your Impact:

Your contribution matters and it’s recognized.  You can expect a fair and competitive rewards package that reflects the impact you create and the value you deliver. We know rewards go beyond numbers.  Offering more than just a paycheck our benefits are designed to support you, your family and your well-being, now and into the future. Santander Benefits - 2026 Santander OnGoing/NH eGuide (foleon.com) 

Risk Culture:

We embrace a strong risk culture and all of our professionals at all levels are expected to take a proactive and responsible approach toward risk management.

Working Conditions:

Frequent minimal physical effort such as sitting, standing and walking is required for this role. Depending on location, occasional moving and lifting light equipment and/or furniture may be required.

Employer Rights:

This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any time. This job description is not a contract for employment and either you or the employer may terminate your employment at any time for any reason.

What To Do Next:

If this sounds like a role you are interested in, then please apply.