Associate, Investment Supervision

Associate, Investment Supervision

Country:
United States of America

Santander is a global leader and innovator in the financial services industry and is evolving from a high‑impact brand into a technology‑driven organization. Our people are at the heart of this journey and together, we are 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’s a chance for driven professionals to grow, learn, and make a real difference.

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The Associate, Investment Supervision key purpose is to identify, evaluate, and document trades for suitability in accordance with FINRA rules and industry regulations. They review new accounts, trade activity and daily trade blotters.

The Associate, Investment Supervision works directly with Financial Advisors and field managers to resolve any documentation deficiencies and escalates 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 to Supervisory Directors in the field, providing relevant recommendations for appropriate actions.
• Partners with Supervisory Directors to help resolve exceptions in a timely manner.
• Reviews transaction exception reports using rules‑based processes and resolves noted trade alerts.
• Raises inquiries for suspicious trades and communication red flags, researches independently, communicates findings, and ensures timely closure of surveillance issues.
• Works with Compliance, Operations and other Santander functions to research industry trends and improve the review process.
• Develops knowledge of financial markets, asset management and financial regulations to build a deep understanding of investment/trading risks.
• Provides backup coverage and cross‑trains others.

To perform this job successfully, you must be able to perform each essential duty satisfactorily. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Bachelor’s Degree or equivalent work experience in Sales Supervision, Compliance, Risk or equivalent field. – Preferred.

5+ Years of Sales Supervision, Compliance, Audit, or Regulatory experience. – Required.

• Strong analytical background with the ability to analyze and summarize findings concisely.
• Detail‑oriented and possesses high ethical standards.
• Knowledge/experience in trading and investments.
• Ability to operate independently within guidelines, policies and procedures.
• Strong technical skills, particularly with 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 confidence in interacting with others.
• Ability to work independently with minimal supervision while collaborating with teammates.
• Sensitivity and tact in performing trade monitoring.
• Solid understanding of applicable Federal and State laws for SEC‑registered broker‑dealer.
• Strong analytical and investigative skills, operating at a strategic level.
• Sound judgment in identifying risks and proactively escalating with senior management.
• Excellent written (drafting & editing) and spoken communication abilities.
• Excellent teamwork, interpersonal and conflict‑resolution skills.

• FINRA Series 7, 24, 66 (or equivalent, 63 and 65), Series 9 and 10 may replace the requirements for Series 24 – Required.
• FINRA Series 53 and 4, and state insurance licenses – Preferred.

Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.

The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non‑exempt), the annual range is based on a 40‑hour work week. The exact compensation may vary based on skills,…