Sr. Associate, Investment Supervision

USA Sr. Associate, Investment Supervision page is loaded## USA Sr. Associate, Investment Supervision locations:
Miami posted on:
Posted Todayjob requisition :
Req
1538195

USA Sr. Associate, Investment Supervision Country:
United States of America
** It Starts Here:
** 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.

If you are interested in exploring the possibilities
** We Want to Talk to You!
**** The Difference You Make:
** The Sr. Associate, Investment Supervision oversees a group of Financial Advisors to ensure compliance with FINRA rules and industry regulations. The incumbent reviews new accounts, trade activity and daily trade blotters as a player/coach. The Sr. Associate, Investment Supervision works directly with Financial Consultants and field managers to resolve any documentation deficiencies and escalate cases as deemed appropriate.
* Identifies, evaluates and documents trades for Regulation Best Interest / suitability in accordance with FINRA rules and industry regulations.
* Reviews and assesses best interest / suitability associated with new accounts and /or products.
* Partners with 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.
* Bilingual English/Spanish.

- Required.
* Bachelor's Degree or equivalent work experience:
Sales Supervision, Compliance, Risk or equivalent field.

- Preferred.
* 9+ Years Supervision, compliance, audit, or regulatory experience.

- Preferred.
* Strong analytical background with the ability to analyze and summarize findings in a concise and clear format Excel.
* Detailed oriented and possess high ethical standards.
* Knowledge of Equity, FX, Credit, Structured Products, Alternatives trading and investment, and/or experience working in the front desk, risk, regulatory, legal or audit fields.
* 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.
* 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.
* Intellectual curiosity and problem solving skills.
* 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 investigative skills and demonstrated ability to operate at a strategic level.
* Sound judgment in identifying…