Sr. Associate, Investment Supervision

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.

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 in a player/coach capacity. The role works directly with Financial Consultants and field managers to resolve any documentation deficiencies and to raise 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 exception reports using rule‑based processes and closes noted trade alerts.
• Raises inquiries for suspicious trades and communication red flags, conducts research independently and deeply, and communicates in accordance with established procedures to ensure timely closure of surveillance issues.
• Works with Compliance, Operations, and other Santander functions to research industry trends and peer practices, continually improving the review process effectiveness.
• 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.

• Bilingual English/Spanish – Required.
• Bachelor’s Degree or equivalent work experience in Sales Supervision, Compliance, Risk or equivalent field – Preferred.
• 9+ years of supervision, compliance, audit, or regulatory experience – Preferred.
• Strong analytical background with ability to analyze and summarize findings concisely and clearly in Microsoft Excel.
• Detail‑oriented and possesses high ethical standards.
• Knowledge of Equity, FX, Credit, Structured Products, Alternatives trading, and/or experience in front‑desk, risk, regulatory, legal, or audit fields.
• Ability to operate independently within guidelines, policies, directives, and established precedence.
• 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.
• Strong communication skills and ability to interact confidently with others.
• Ability to work independently with minimal supervision while maintaining collaboration and cooperation with other team members.
• Intellectual curiosity and problem‑solving skills.
• Sensitivity and tact, especially in the performance of trade monitoring.
• Solid understanding of applicable federal and state laws for SEC‑registered broker‑dealers.
• Strong analytical and investigative skills with strategic-level operation demonstrated.
• Sound judgment in identifying risks to proactively escalate with senior management.
• Excellent written (drafting & editing) and spoken communication abilities.
• Excellent teamwork, interpersonal, and conflict‑resolution skills.

• FINRA Series 7 and Series 24 (Series 9 and 10 may replace the requirement for Series 24) – Required.
• FINRA Series 53 and Series 4 – Preferred.

• Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.
• Experience in Microsoft Office products.

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. Compensation may vary based on skills, experience, training, licensure, certifications, and location.