SEC/FINRA Regulatory Controls & Operational Oversight - VP

Santander(2 months ago)

HybridFull TimeManager$101,250 - $185,000Operations

About this role

A Vice President focused on SEC/FINRA regulatory controls and operational oversight for Santander's U.S. Broker-Dealer business. The role ensures the control framework supports compliance with U.S. securities regulations while aligning with the bank's global standards. Based in Miami, the position involves translating cross-border (EU-to-US) regulatory strategy into the U.S. operating environment.

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Required Skills

Regulatory Controls
Risk Management
Compliance Monitoring
Stakeholder Engagement
Change Management
KPI Tracking
Issue Management
Excel
Sentinel
Bloomberg

+3 more

Qualifications

Bachelor's Degree
Other Risk Certification

About Santander

santander.com

Santander is a global banking group headquartered in Spain that provides retail, corporate and investment banking, payments, asset management and insurance across Europe, Latin America and other markets. Its stated purpose is to help people and businesses prosper, guided by the values Simple, Personal and Fair, and it serves customers through a mix of branch networks and digital channels. Companies and consumers choose Santander for its broad product set, international footprint and focus on digital innovation and sustainable finance.

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