Sr. Advisor, Compliance
Santander(1 month ago)
About this role
A Senior Advisor, Compliance at Santander supports the firm’s compliance function for Broker-Dealer and RIA operations, helping ensure regulatory program governance and adherence to FINRA and SEC requirements. The role partners with business stakeholders and contributes to the organization’s broader regulatory and risk-management objectives.
Required Skills
- Compliance
- Surveillance
- Advertising Review
- OBA Management
- Account Monitoring
- Licensing Verification
- Regulatory Exams
- Policy Writing
- Training
- Risk Analysis
+2 more
Qualifications
- Bachelor's Degree
- Master's Degree (Preferred)
- FINRA Series 7
- FINRA Series 24
- FINRA Series 53
- Series 65 (Preferred)
- Series 66 (Preferred)
- Series 4 (Preferred)
About Santander
santander.comSantander 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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