Santander Bank, N.A. · 3 hours ago
Associate, Investment Supervision
Boston, MA
Contract
Onsite
Mid, Senior Level
$68K/yr - $120K/yr
5+ years expSantander Bank, N.A. is a global leader in the financial services industry, focusing on a technology-driven transformation. The Associate, Investment Supervision is responsible for identifying, evaluating, and documenting trades for suitability in accordance with FINRA rules and industry regulations, while collaborating with Financial Advisors and field managers to resolve documentation deficiencies.
BankingFinanceFinancial Services
Responsibilities
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
Qualification
Required
5+ Years Sales Supervision, Compliance, Audit, or Regulatory experience 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
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
Preferred
Bachelor's Degree or equivalent work experience: Sales Supervision, Compliance, Risk or equivalent field
FINRA (Financial Industry Regulatory Authority) FINRA Series 53 and 4, and state insurance licenses
Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education
Benefits
Fair and competitive rewards package
Benefits are designed to support you, your family and your well-being
Company
Santander Bank, N.A.
At Santander Bank, it’s our mission to help people and businesses prosper.
5001-10000 employees
H1B Sponsorship
Santander Bank, N.A. has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
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Trends of Total Sponsorships
2025 (44)
2024 (36)
2023 (61)
2022 (66)
2021 (78)
2020 (69)
Funding
Current Stage
Late StageTotal Funding
$75MKey Investors
Wind Turbine & Energy Cables
2020-01-22Debt Financing· $75M
Leadership Team
Pierre Habis
Chief Consumer & Digital Transformation Officer
Recent News
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