Associate, Investment Supervision

Join to apply for the Associate, Investment Supervision role at Santander Bank, N.A.

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.

Country:
United States of America

• 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, conducts research independently and deeply, and communicates in accordance with the established procedure, ensuring 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.

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.

• Bachelor's Degree or equivalent work experience in 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.
• Detail‑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.

• FINRA Series 7, 24, 66 (or equivalent, 63 and 65), Series 9 and 10 may replace the requirements for Series 24 – Required.
• FINRA Series 53 and 4, and state insurance licenses – Preferred.

Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.

The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non‑exempt), the annual…