Sr. Associate, Investment Supervision
Not Disclosed•Full-TimeOn-site
location_onBlue Lagoon Dr@# 6100, Blue Lagoon Drive, Miami-Dade County, Florida, 33126, United States
Santander is a global leader and innovator in the financial services industry, evolving from a high-impact brand into a technology-driven organization. Our people are at the heart of this journey, driving a customer-centric transformation that values bold thinking, innovation, and the courage to challenge what's possible. This strategic shift offers driven professionals the chance to grow, learn, and make a real difference.
The Sr. Associate, Investment Supervision serves as a vital player and coach within our compliance framework, overseeing a group of Financial Advisors to ensure strict adherence to FINRA rules and industry regulations. This role is designed to bridge the gap between field operations and regulatory standards, ensuring the integrity of our investment processes.
In this position, you will work directly with Financial Consultants and field managers to resolve documentation deficiencies and escalate cases as appropriate. Your day-to-day involves reviewing new accounts, trade activity, and daily trade blotters to identify and evaluate trades for Regulation Best Interest and suitability. You will partner with Directors in the field to resolve exceptions timely, conduct deep research on suspicious trades and communication red flags, and collaborate with Compliance, Operations, and other functions to improve review process effectiveness.
Beyond technical execution, this role requires a proactive approach to risk management. You will develop a deep understanding of investment and trading risks by staying current on financial markets, asset management, and financial regulations. The position demands strong analytical and investigative skills, sound judgment in identifying risks, and the ability to operate independently while maintaining high levels of collaboration with the team.
If this sounds like a role you are interested in, please apply. We are committed to providing an inclusive and accessible application process for all candidates. If you require any assistance or accommodation due to a disability or any other reason, please contact us at TAOps@santander.us to discuss your needs.
We embrace a strong risk culture where all professionals are expected to take a proactive and responsible approach toward risk management. At Santander, we value and respect differences in our workforce and actively encourage everyone to apply. We offer a fair and competitive rewards package that reflects the impact you create, designed to support you, your family, and your well-being.
Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.
Work model: On-site
Blue Lagoon Dr@# 6100, Blue Lagoon Drive, Miami-Dade County, Florida, 33126, United States
Florida
Bachelor's Degree or equivalent work experience in Sales Supervision, Compliance, Risk or equivalent field; 9+ Years Supervision, compliance, audit, or regulatory experience; FINRA Series 53 and Series 4 certifications; Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education; Experience in Microsoft Office products.
Skills: Excel, Microsoft Office, Bilingual English/spanish, Finra Series 7, Finra Series 24, Finra Series 9, Finra Series 10, Finra Series 53, Finra Series 4.
Education: Bachelor's Degree or equivalent work experience in Sales Supervision, Compliance, Risk or equivalent field.
