VP, Regulatory Controls & Operations Oversight; SEC/FINRA
Job in
Miami, Miami-Dade County, Florida, 33222, USA
Listed on 2026-01-02
Listing for:
Santander US
Full Time
position Listed on 2026-01-02
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
A leading financial services provider is seeking a Vice President for SEC/FINRA Regulatory Controls in Miami. This role encompasses day-to-day execution of regulatory controls, ensuring compliance, and maintaining high service quality within a Broker Dealer context. Candidates should possess strong analytical skills and relevant experience of 5-10 years, ideally, in a compliance environment, with robust knowledge of SEC/FINRA regulations. The position offers a hybrid work model and competitive compensation.
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