
The USA Sr. Associate, Investment Supervision role at Santander involves overseeing a group of Financial Advisors to ensure strict compliance with FINRA rules and industry regulations. Key responsibilities include reviewing new accounts and trade activity, evaluating trades for suitability under Regulation Best Interest, and resolving documentation deficiencies with field managers. The position requires identifying suspicious trades, conducting independent research on surveillance issues, and collaborating with Compliance and Operations teams to improve review processes. This opportunity appeals to professionals seeking to drive a customer-centric transformation within a technology-driven global financial organization. The role offers a chance to work in a strong risk culture that values bold thinking and innovation, while requiring bilingual English/Spanish skills and specific FINRA certifications.










