SEC/FINRA Regulatory Controls & Operational Oversight - VP jobs in United States
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Santander Bank, N.A. · 1 day ago

SEC/FINRA Regulatory Controls & Operational Oversight - VP

positionMiami, FL
timeFull-time
remoteHybrid
seniorityMid, Senior Level
money$101K/yr - $185K/yr
date5+ years exp

Santander Bank, N.A. is a global leader in financial services, dedicated to employee growth and innovation. The VP of SEC/FINRA Regulatory Controls & Operational Oversight is responsible for managing day-to-day controls related to the Broker Dealer, ensuring regulatory compliance and operational excellence.

BankingFinanceFinancial Services
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H1B Sponsor Likelynote

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. Liase with Global regarding these topics
Stakeholder Engagement
Liaise with Front Office, Risk, Compliance, Audit, and Technology to help assess and escalate 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

Qualification

SEC/FINRA regulatory knowledgeOperational Control & Risk ManagementKPIKRI developmentAnalytical skillsMicrosoft Office proficiencyAutomation technologies familiarityStakeholder engagementCommunication skillsProblem-solving skills

Required

Must possess SEC/FINRA regulatory advisory knowledge that apply 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
Advance Microsoft Office skills including Excel, Word, PowerPoint and knowledge of Sentinel/Bloomberg
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
Bachelor's Degree or equivalent work experience
5-10+ Years of relevant experience; Broker Dealer experience

Preferred

Other Risk Certification - Preferred
Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education

Company

Santander Bank, N.A.

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At Santander Bank, it’s our mission to help people and businesses prosper.
dateFounded in 2013
location
Boston, Massachusetts, USA
people-size5001-10000 employees
web-link
https://www.santanderbank.com

H1B Sponsorship

Santander Bank, N.A. has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (44)
2024 (36)
2023 (61)
2022 (66)
2021 (78)
2020 (69)

Funding

Current Stage
Late Stage
Total Funding
$75M
Key Investors
Wind Turbine & Energy Cables
2020-01-22Debt Financing· $75M

Leadership Team

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Pierre Habis
Chief Consumer & Digital Transformation Officer
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