Sr. Advisor, Compliance

Overview

Sr. Advisor, Compliance
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 Senior Advisor, Compliance will play a critical role in overseeing and executing the Firm’s compliance program. This individual will be responsible for day-to-day compliance oversight in key supervisory areas, ensuring adherence to FINRA, SEC, and firm policies. The role requires deep regulatory knowledge, sound judgment, and the ability to partner effectively with business stakeholders.

• Oversee and conduct electronic communications surveillance, including email and other written correspondence, to ensure compliance with regulatory requirements and firm policies.
• Review and approve advertising, marketing, and sales materials for Broker-Dealer and RIA businesses in accordance with FINRA and SEC rules.
• Administer and supervise the Outside Business Activities (OBA) program, including review, approval, documentation, and ongoing monitoring.
• Oversee outside/employee brokerage account disclosures, approvals, and monitoring.
• Conduct and manage new hire background checks, licensing verification, and onboarding compliance reviews.
• Assist with regulatory exams, audits, inquiries, and responses from FINRA, SEC, and other regulators.
• Identify compliance risks, escalate issues as appropriate, and recommend corrective actions.
• Maintain and update written supervisory procedures (WSPs), policies, and compliance documentation.
• Provide compliance guidance and training to registered representatives, investment adviser representatives, and internal staff.
• Stay current on regulatory developments impacting Broker-Dealer and RIA operations.

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:
  Business, Finance, or equivalent degree.
  
  - Required.
• Master’s Degree:
  Business, Finance, or equivalent field.
  
  - Preferred.

• 9+ Years Compliance, Legal, Regulatory, or Financial Services.
  
  - Required.
• Strong working knowledge of FINRA and SEC rules related to communications, advertising, supervision, OBAs, and employee accounts.

• Advanced knowledge of regulatory compliance, relevant industry regulations and regulatory data sources.
• Demonstrated experience facilitating change to achieve measurable results.
• Demonstrated subject matter expertise compliance opportunities and resolution.
• Business Line awareness.
• Detail orientated with the ability to also understand overall strategy.
• Excellent interpersonal, supervisory, and customer service skills required.
• Excellent written and verbal communication skills.
• Excellent critical thinking skills with the ability to be adept in identifying and resolving complex risk management problems.
• Excellent project management skills.
• Ability to build and foster internal and external relationships.
• Ability to analyze risk and design efficient control practices to minimize risk.
• Ability to lead, influence and direct peers, subordinates and management.
• Ability to make effective decision making on complex matters.
• Ability to convey a sense or urgency and drive.
• Ability to multi-task and meet strict deadlines.
• Ability to adjust to new developments/changing circumstances.
• Ability to interact with senior level management; experience interfacing with multiple levels of the organizational structure.
• Superior analytical, problem solving and critical thinking…