Associate, Investment Supervision

Your Journey Starts Here:

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!

The Difference You Make:
The Associate Investment Supervision key purpose is to identify evaluate and document trades for suitability in accordance with FINRA rules and industry regulations. Will reviews new accounts trade activity and daily trade blotters. The Associate Investment Supervision will work directly with Financial Advisors and field managers to resolve any documentation deficiencies and escalate cases as deemed appropriate.

Identifies evaluates and documents trades for suitability in accordance with FINRA rules and industry regulations.
Reviews and assesses suitability associated with new accounts and /or products.
Escalates Supervisory issues as necessary to Supervisory Directors in the field providing relevant recommendations as to the appropriate actions to be taken.
Partners with Supervisory 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.

Bachelors Degree or equivalent work experience: Sales Supervision Compliance Risk or equivalent field. - Preferred.

5 Years Sales Supervision Compliance Audit or Regulatory experience required - Required.

Strong analytical background with the ability to analyze and summarize findings in a concise and clear format.
Detailed oriented and possess high ethical standards.
Knowledge/experience in trading and investments.
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.
Intellectual curiosity and problem solving skills.
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.
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 risks in order to proactively escalate with relevant senior management.
Excellent written (drafting & editing) and spoken communication abilities.
Excellent teamwork interpersonal and conflict resolution skills.

Certifications:
FINRA (Financial Industry Regulatory Authority) FINRA Series 7 24 66 (or equivalent 63 and 65) Series 9 and 10 may replace the requirements for Series 24 - Required.
FINRA (Financial Industry Regulatory Authority) FINRA Series 53 and 4 and state insurance licenses - Preferred.

It Would Be Nice For You To Have:
Established work history or equivalent demonstrated through a combination of work experience training military service or education.

What Else You Need To Know:

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. The exact compensation may vary based on skills experience training licensure and certifications and location.

Link to Santander Benefits:

Santander Benefits - 2025 Santander OnGoing/NH eGuide ()

Risk Culture:

We embrace a strong risk culture and all of our professionals at all levels are expected to take a proactive and responsible approach toward risk management.

EEO Statement:

At Santander we value and respect differences in our workforce. We actively encourage everyone to apply. Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin genetics disability age veteran status or any other characteristic protected by law.

Working Conditions:

Frequent minimal physical effort such as sitting standingand walking is required for this role. Depending on location occasional moving and lifting light equipment and/or furniture may be required.

Employer Rights:

This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any time. This job description is not a contract for employment and either you or the employer may terminate your employment at any time for any reason.

What To Do Next:

If this sounds like a role you are interested in then please apply.

We are committed to providing an inclusive and accessible application process for all candidates. If you require any assistance or accommodation due to a disability or any other reason please contact us at to discuss your needs.