USA Sr. Associate, Investment Supervision

About Santander

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 is more than a strategic shift; it is a chance for driven professionals to grow, learn, and make a real difference.

About the Role

The Sr. Associate, Investment Supervision serves as a player/coach, overseeing a group of Financial Advisors to ensure strict compliance with FINRA rules and industry regulations. In this role, you will review new accounts, trade activity, and daily trade blotters, working directly with Financial Consultants and field managers to resolve documentation deficiencies and escalate cases as appropriate.

You will identify, evaluate, and document trades for Regulation Best Interest and suitability, while partnering with Directors in the field to resolve exceptions in a timely manner. The role requires deep research into suspicious trades and communication red flags, ensuring the timely closure of surveillance issues. Additionally, you will collaborate with Compliance, Operations, and other Santander functions to research industry trends and continuously improve the effectiveness of our review processes.

Risk Culture

We embrace a strong risk culture, and all professionals at all levels are expected to take a proactive and responsible approach toward risk management. Your contribution matters and is recognized through a fair and competitive rewards package designed to support you, your family, and your well-being.

Equal Opportunity

At Santander, we value and respect differences in our workforce. We actively encourage everyone to apply. 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.

Application Process

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.