USA Sr. Associate, Investment Supervision

Overview 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 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 as a player/coach. The Sr. Associate, Investment Supervision works directly with Financial Consultants and field managers to resolve any documentation deficiencies and elevate 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 exceptions reports using rules‑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 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 continues improving our 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‑train others. What You Bring Bilingual English/Spanish – Required. Bachelor's Degree or equivalent experience in Sales Supervision, Compliance, Risk or equivalent field – Preferred. 9+ Years of supervision, compliance, audit, or regulatory experience – Preferred. Strong analytical background with the ability to analyze and summarize findings in a concise and clear format using Excel. Detail‑oriented and possess high ethical standards. Knowledge of Equity, FX, Credit, Structured Products, Alternatives trading and investment, and/or experience working in the 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 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. Intellectual curiosity and problem‑solving skills. Sensitivity and tact, especially evident in the performance of trade monitoring. Solid understanding of applicable Federal and State laws for 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 elevate them with relevant senior management. Excellent written (drafting & editing) and spoken communication abilities. Excellent teamwork, interpersonal and conflict resolution skills. Certifications FINRA Series 7 and Series 24 (Series 9 and 10 may replace the requirements for Series 24) – Required. FINRA Series 53 and Series 4 – 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. Experience in Microsoft Office products. 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, certifications and location. Base Pay Range Minimum: $86,250.00 USD Maximum: $165,000.00 USD We Value Your Impact Your contribution matters and it’s recognized. You can expect a fair and competitive rewards package that reflects the impact you create and the value you deliver. We know rewards go beyond numbers. Offering more than just a paycheck, our benefits are designed to support you, your family and your well‑being now and into the future. 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. #J-18808-Ljbffr Santander Consumer USA Inc.