VP - Compliance, Compliance Team CIB

Position: VP - Employee Compliance, Central Compliance Team CIB
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 VP, Employee Compliance is responsible for administering the Firm's Employee Compliance Program with a primary focus on Personal Securities Trading ("PST"), Personal Account Dealing ("PAD"), employee brokerage account monitoring, conflicts of interest, and compliance with applicable regulatory requirements and Firm policies.

The role supports the design, implementation, monitoring, and enhancement of controls related to employee trading activities, personal account disclosures, restricted securities, watch list controls, private investments, outside business activities, gifts and entertainment, and other employee conduct-related compliance matters. The position works closely with Legal, Compliance, Human Resources, Risk, Internal Audit, Technology, and business stakeholders to identify and mitigate regulatory and reputational risks.

Personal Securities Trading & Personal Account Dealing

• Administer the Firm's Personal Securities Trading and Personal Account Dealing program.
• Review and approve employee personal trading requests, personal account disclosure in accordance with Firm policies and regulatory requirements.
• Monitor employee trading activity for compliance with Firm restrictions, holding periods, restricted lists, watch lists, and insider trading controls.
• Conduct reviews of employee brokerage account disclosures, account feeds, and account statements.
• Investigate potential violations of employee trading policies and escalate issues as appropriate.
• Maintain employee account inventories and ensure required account certifications and attestations are completed.
• Review employee investment holdings, transactions, and account activity for potential conflicts of interest.
• Support monitoring of outside business activities, private investments, and other employee investment activities requiring review or approval.

Employee Compliance Program

• Administer employee compliance disclosures and certifications, including:
  • Outside Business Activities (OBAs)
  • Private Securities Transactions (PSTs)
  • Gifts and Entertainment
  • Political Contributions
  • Conflicts of Interest
  • Code of Conduct certifications
  • Annual compliance attestations
• Review and assess employee disclosures for regulatory, reputational, and conflict risks.
• Support the administration of FINRA registration and licensing requirements, including employee registration status, continuing education obligations, and related regulatory filings.
• Knowledge of CFTC Swap AP and SEC SBS AP registration frameworks is a plus.
• Maintain employee compliance records and support documentation.
• Assist in the development and enhancement of employee compliance policies, procedures, and controls.

Monitoring & Investigations

• Perform reviews and exception analysis related to employee trading and conduct.
• Conduct investigations of potential policy violations and prepare findings, recommendations, and escalation materials.
• Support regulatory inquiries, examinations, audits, and internal reviews.
• Identify trends, emerging risks, and opportunities to enhance monitoring controls.

Regulatory & Compliance Support

• Interpret and apply applicable regulatory requirements, including SEC, FINRA, broker-dealer, investment adviser, and Firm-specific obligations.
• Support compliance risk assessments and regulatory change management initiatives.
• Assist with compliance testing and monitoring activities.
• Prepare management reporting, metrics, and governance materials.

• Advises management on current issues regarding banking.
• Serves as a subject matter expert to ensure documents, projects, processes or product initiatives comply with regulatory and legal requirements and enterprise policy.
• Partners with managers in assigned business unit to respond to reports issued by regulatory agencies or audit.
• Identifies systemic procedural weaknesses and additional training requirements needed to ensure compliance.
• Responds to regulatory inquiries and third party examiners.
• Collaborates across business units within the organization to ensure consistency in policies and procedures.
• Identifies compliance opportunities and potential solutions.
• Performs risk assessments, synthesizes analyses, identifies root cause(s), and provides recommendations to management.
• Provides compliance input on business action plans, projects, or operational requests.
• Provides insight and guides management on issues.
• Leads and influence cross functional enterprise projects or compliance teams.
• Leads efforts to…