Usa Sr. Associate, Investment Supervision

Santander UK

United States of America
Base: $86,250.00 - $165,000.00 usd annually; bonus...
Finra series 7 and series 24 certification required
Bilingual english/spanish proficiency required
9+ years supervision or compliance experience preferred
The Sr. Associate oversees a group of Financial Advisors to ensure strict compliance with FINRA rules and industry regulations

Job Summary

  • The Sr. Associate oversees a group of Financial Advisors to ensure strict compliance with FINRA rules and industry regulations.
  • This role involves reviewing new accounts, trade activity, and daily trade blotters while resolving documentation deficiencies with field managers.
  • Santander offers a competitive rewards package including benefits designed to support employee well-being and family needs.

Matching Summary

The Sr. Associate oversees a group of Financial Advisors to ensure strict compliance with FINRA rules and industry regulations.

Salary

Base: $86,250.00 - $165,000.00 USD annually; Bonus/Equity: Not specified; Benefits: Comprehensive rewards package supporting well-being

Skills & Requirements

Must-have

  • FINRA Series 7 and Series 24 certification required
  • Bilingual English/Spanish proficiency required
  • 9+ years supervision or compliance experience preferred

Nice-to-have

  • Strong analytical background with Excel expertise
  • Knowledge of Equity, FX, Credit, and Structured Products
  • Experience working in front desk or risk fields

Key Requirements

  • Bachelor's Degree or equivalent work experience
  • FINRA Series 7 and Series 24 (or 9/10)
  • 9+ years in supervision, compliance, audit, or regulatory roles
  • Bilingual English/Spanish capability

Work Rights

Not specified

Tailored Resume

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