Job Description

SEC/FINRA Regulatory Controls & Operational Oversight - VPCountry: United States of America

Your Journey Starts Here:

Santander is a global leader and innovator in the financial services industry. We believe that our employees are our greatest asset. Our focus is on fostering an enriching journey that empowers you to explore diverse career opportunities while nurturing your personal growth. We are committed to creating an environment where continuous learning and development are prioritized, enabling you to thrive both professionally and personally. Here, you will find ample opportunities to connect and collaborate with talented colleagues from around the world, sharing insights and driving innovation together. Join us at Santander, where you are supported by a culture of engagement and a commitment to your success.

An exciting journey awaits, if you are interested in exploring the possibilities We Want to Talk to You!

The Difference You Make:

You will be responsible for the execution of day-to-day controls related to the Broker Dealer.

This includes ensuring high service quality, regulatory compliance, and alignment with internal standards. The role requires a strategic thinker with strong leadership skills and the ability to manage a complex operating model.

Responsibilities

• Oversight & Governance
  • Work with control team to review, monitor and track controls related to SEC/FINRA regulations.
  • Work with control team to ensure SLAs are up to date and accurately reflect services identified therein; update accordingly.
• Operational Control & Risk Management
  • Maintain a strong control environment by enforcing risk and control standards as dictated by policy and Global.
  • Participate in incident and issue management related to identified gaps and/or breaches, including root cause analysis, remediation, and preventive measures in conjunction with the Issue Management team.
  • Work with the control team to monitor compliance with regulatory requirements and internal policies (e.g., trade reporting, reconciliations, client onboarding, etc.).
• Performance Monitoring
  • Track operational performance metrics in conjunction with Global requirements.
  • Review adherence to KPIs and SLAs, proactively managing any underperformance or systemic issues. Liaise with Global regarding these topics.
• Stakeholder Engagement
  • Liaise with Front Office, Risk, Compliance, Audit, and Technology to help assess and elevate identified issues related to SEC/FINRA regulatory controls.
• Change Management
  • Partner with the Business and other internal teams on continuous improvement, automation, and transformation efforts.
  • Support onboarding of new processes or products into Operations with robust controls and documentation.

What You Bring:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Must possess SEC/FINRA regulatory advisory knowledge that applies to a Corporate and Investment Banking entity.
• Ability to recognize risks associated with the processes/controls and assist in identifying controls to mitigate such risks.
• Demonstrable experience building controls and KPI and KRI to manage Global requirements.
• Ability to communicate with the Global team and identify where Global processes are not applicable or unable to be put into play in the U.S. (e.g. due to US regulatory conflicts or system issues).
• Strong analytical and problem‑solving abilities.
• Advanced Microsoft Office skills including Excel, Word, PowerPoint and knowledge of Sentinel/Bloomberg.
• Familiar with automation technologies and AI tools a plus.
• Cross-border product expertise: how EU-originated products are marketed, traded, or hedged in the US.
• Ability to translate European regulatory strategy into the US operating environment, while ensuring the branch stays fully compliant with local (US) laws and supervisory expectations. It’s a dual-lens role: global alignment + local execution.
• Bachelor's Degree or equivalent work experience.
• 5‑10+ Years of relevant experience; Broker Dealer experience.

Certifications

• Other Risk Certification – Preferred.

It Would Be Nice For You To Have:

• Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.

This is a hybrid position (3 days/week in office) in Miami, FL.

What Else You Need To Know

The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40‑hour work week. The exact compensation may vary based on skills, experience, training, licensure and certifications and location.

Base Pay Range: Minimum: $101,250.00 USD | Maximum: $185,000.00 USD

Santander Benefits – 2025 Santander OnGoing/NH eGuide (foleon.com)

Risk Culture

We embrace a strong risk culture and all of our professionals at all levels are expected to take a proactive and responsible approach toward risk management.

EEO Statement

At Santander, we value and respect differences in our workforce. We actively encourage everyone to apply. Santander is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law.

Working Conditions

Frequent minimal physical effort such as sitting, standing and walking is required for this role. Depending on location, occasional moving and lifting light equipment and/or furniture may be required.

Employer Rights

This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any time. This job description is not a contract for employment and either you or the employer may terminate your employment at any time for any reason.

What To Do Next

If this sounds like a role you are interested in, then please apply.

We are committed to providing an inclusive and accessible application process for all candidates. If you require any assistance or accommodation due to a disability or any other reason, please contact us at TAOps@santander.us to discuss your needs.

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