SEC​/FINRA Regulatory Controls & Operational Oversight - VP

SEC/FINRA Regulatory Controls & Operational Oversight - VP

Country:
United States of America

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!

You will be responsible for the execution of day-to-day controls related to the Broker Dealer.

This includes ensuring high service quality, regulatory compliance, and alignment with internal standards. The role requires a strategic thinker with strong leadership skills and the ability to manage a complex operating model.

• Work with control team to review, monitor and track controls related to SEC/FINRA regulations.
• Work with control team to ensure SLAs are up to date and accurately reflect services identified therein; update accordingly.

• Maintain a strong control environment by enforcing risk and control standards as dictated by policy and Global.
• Participate in incident and issue management related to identified gaps and/or breaches, including root cause analysis, remediation, and preventive measures in conjunction with the Issue Management team.
• Work with the control team to monitor compliance with regulatory requirements and internal policies (e.g., trade reporting, reconciliations, client onboarding, etc.).

• Track operational performance metrics in conjunction with Global requirements.
• Review adherence to KPIs and SLAs, proactively managing any underperformance or systemic issues. Liaise with Global regarding these topics.

• Liaise with Front Office, Risk, Compliance, Audit, and Technology to help assess and elevate identified issues related to SEC/FINRA regulatory controls.

• Partner with the Business and other internal teams on continuous improvement, automation, and transformation efforts.
• Support onboarding of new processes or products into Operations with robust controls and documentation.

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.

Must possess SEC/FINRA regulatory advisory knowledge that apply to a Corporate and Investment Banking entity. Ability to recognize risks associated with the processes/controls and assist in identifying controls to mitigate such risks.

• Demonstrable experience building controls and KPI and KRI to manage Global requirements.
• Ability to communicate with the Global team and identify where Global processes are not applicable or unable to be put into play in the U.S. (e.g. due to US regulatory conflicts or system issues).
• Strong analytical and problem-solving abilities.
• Advanced Microsoft Office skills including Excel, Word, PowerPoint and knowledge of Sentinel/Bloomberg.
• Familiar with automation technologies and AI tools a plus.
• Cross-border product expertise: how EU-originated products are marketed, traded, or hedged in the US.
• Ability to translate European regulatory strategy into the US operating environment, while ensuring the branch stays fully compliant with local (US) laws and supervisory expectations. It’s a dual-lens role: global alignment + local execution.

Bachelor's Degree or equivalent work experience

5-10+ Years of relevant…