
The Sr. Associate, Investment Supervision role at Santander involves overseeing a group of Financial Advisors to ensure strict adherence to FINRA rules and industry regulations. Key responsibilities include reviewing new accounts and trade activity for suitability, identifying and resolving transaction exceptions, and conducting independent research on suspicious trades. The position requires close collaboration with field managers, compliance teams, and operations to improve review processes and manage investment risks. 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 with diverse asset classes, develop deep market knowledge, and contribute to a strong risk culture. Bilingual English/Spanish skills are required, and the position is based in the USA.







