USA Sr. Associate, Investment Supervision

Job description

USA Sr. Associate, Investment Supervision 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 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 escalate cases as deemed appropriate. - Identifies, evaluates and documents trades for Regulation Best Interest / suitability in accordance with F...