Santander Bank, N.A. · 1 day ago
Sr. Advisor, Compliance
Boston, MA
Full-time
Onsite
Senior Level, Lead/Staff
$90K/yr - $165K/yr
9+ years expSantander Bank, N.A. is a global leader and innovator in the financial services industry, evolving into a technology-driven organization. The Senior Advisor, Compliance will oversee and execute the Firm’s compliance program, ensuring adherence to regulatory requirements and firm policies while providing guidance and training to staff.
BankingFinanceFinancial Services
Responsibilities
Oversee and conduct electronic communications surveillance, including email and other written correspondence, to ensure compliance with regulatory requirements and firm policies
Review and approve advertising, marketing, and sales materials for Broker-Dealer and RIA businesses in accordance with FINRA and SEC rules
Administer and supervise the Outside Business Activities (OBA) program, including review, approval, documentation, and ongoing monitoring
Oversee outside/employee brokerage account disclosures, approvals, and monitoring
Conduct and manage new hire background checks, licensing verification, and onboarding compliance reviews
Assist with regulatory exams, audits, inquiries, and responses from FINRA, SEC, and other regulators
Identify compliance risks, escalate issues as appropriate, and recommend corrective actions
Maintain and update written supervisory procedures (WSPs), policies, and compliance documentation
Provide compliance guidance and training to registered representatives, investment adviser representatives, and internal staff
Stay current on regulatory developments impacting Broker-Dealer and RIA operations
Qualification
Required
Bachelor's Degree or equivalent work experience: Business, Finance, or equivalent degree
9+ Years Compliance, Legal, Regulatory, or Financial Services
Strong working knowledge of FINRA and SEC rules related to communications, advertising, supervision, OBAs, and employee accounts
Advanced knowledge of regulatory compliance, relevant industry regulations and regulatory data sources
Demonstrated experience facilitating change to achieve measurable results
Demonstrated subject matter expertise compliance opportunities and resolution
Business Line awareness
Detail orientated with the ability to also understand overall strategy
Excellent interpersonal, supervisory, and customer service skills required
Excellent written and verbal communication skills
Excellent critical thinking skills with the ability to be adept in identifying and resolving complex risk management problems
Excellent project management skills
Ability to build and foster internal and external relationships
Ability to analyze risk and design efficient control practices to minimize risk
Ability to lead, influence and direct peers, subordinates and management
Ability to make effective decision making on complex matters
Ability to convey a sense or urgency and drive
Ability to multi-task and meet strict deadlines
Ability to adjust to new developments/changing circumstances
Ability to interact with senior level management; experience interfacing with multiple levels of the organizational structure
Superior analytical, problem solving and critical thinking skills
Self-directed, self-motivated and demonstrated experience providing ideas and solutions to further business understanding
Active FINRA Series 7, Series 24, and Series 53 licenses are required
Preferred
Master's Degree: Business, Finance, or equivalent field
The Series 65 or Series 66 and Series 4 licenses are preferred
Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education
Experience in Microsoft Office products
Benefits
Fair and competitive rewards package
Benefits are designed to support you, your family and your well-being
Company
Santander Bank, N.A.
At Santander Bank, it’s our mission to help people and businesses prosper.
5001-10000 employees
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 StageTotal Funding
$75MKey Investors
Wind Turbine & Energy Cables
2020-01-22Debt Financing· $75M
Leadership Team
Pierre Habis
Chief Consumer & Digital Transformation Officer
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