Associate, Investment Supervision

Associate, Investment Supervision Country:
United States of America
** Your Journey Starts Here:
** Santander is a global leader and innovator in the financial services industry. We believe that our employees are our greatest asset. Our focus is on fostering an enriching journey that empowers you to explore diverse career opportunities while nurturing your personal growth. We are committed to creating an environment where continuous learning and development are prioritized, enabling you to thrive both professionally and personally.

Here, you will find ample opportunities to connect and collaborate with talented colleagues from around the world, sharing insights and driving innovation together. Join us at Santander, where you are supported by a culture of engagement and a commitment to your success.

An exciting journey awaits, if you are interested in exploring the possibilities
** We Want to Talk to You!
**** The Difference You Make:
** The Associate, Investment Supervision key purpose is to identify, evaluate, and document trades for suitability in accordance with FINRA rules and industry regulations. Will reviews new accounts, trade activity and daily trade blotters. The Associate, Investment Supervision will work directly with Financial Advisors and field managers to resolve any documentation deficiencies and escalate cases as deemed appropriate.

• Identifies, evaluates and documents trades for suitability in accordance with FINRA rules and industry regulations.  
• Reviews and assesses suitability associated with new accounts and /or products.  
• Escalates Supervisory issues, as necessary to Supervisory Directors in the field, providing relevant recommendations as to the appropriate actions to be taken.  
• Partners with Supervisory 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.
Bachelor's Degree or equivalent work experience:
Sales Supervision, Compliance, Risk or equivalent field.

- Preferred.
5+ Years Sales Supervision, Compliance, Audit, or Regulatory experience required - Required.

• Strong analytical background with the ability to analyze and summarize findings in a concise and clear format.  
• Detailed oriented and possess high ethical standards.  
• Knowledge/experience in trading and investments.  
• 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.  
• Intellectual curiosity and problem solving skills.  
• 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.  
• 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…