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The Central Compliance VP Monitors activities to minimize the company's exposure to risk. Activities may include data analysis, risk identification and remediation. Represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions. More specifically, this role will provide Compliance advisory and operational support for Licensing and Registration and Employee Compliance (including but not limited to Code of Conduct, Personal Account Dealing, Outside Business Activities Gifts & Entertainment, Political Contributions, SEC Rule 15a-6 related certifications, Continuing Education
Essential Functions/Responsibility Statements:
- Primarily responsible for executing compliance processes and controls for initiating, maintaining, and updating SEC, CFTC, FINRA, NFA related registrations and filings for the Firm and associated persons including Forms U4/U5, Form BD, Form BR, Form 7R, and assists in the completion of associated requirements.
- Provides support for carrying out additional compliance functions related to: Â
- employee pre-clearance requests including, but not limited to, personal trading, gifts & entertainment, outside business activities, political contributions
- new hire onboarding, employee attestations, SEC Rule 15a-6 related certifications.
- Provides guidance and responds to employee queries regarding Licensing and Registration and other Employee Compliance matters.
- Undertakes standard reviews, creates/maintains compliance metrics, as needed, and escalates to senior staff where non-compliance is identified.
- Assists in updating Compliance processes and manuals.
- Conducts training of new hires and current staff and provides guidance to employees on compliance policies.
- Identifies systemic procedural weaknesses and additional training requirements needed to ensure compliance.
- Evaluates controls in place to ensure continuous compliance measures with laws, regulations and policies affecting the organization, recommends process improvements to management.
- Collaborates with team on projects and program tasks intended to improve compliance and enhance the control environment.
- Keeps current on existing and proposed legislation, regulatory announcements, and industry practices for compliance requirements, and works with team to implement procedures to meet these requirements.
- Validates controls or project plans to ensure compliance with laws, rules and regulations.
Qualifications: 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.
Education:
Bachelor's Degree: Business, Finance or equivalent degree.
Work Experience:
- 9+ Years Compliance, Legal, Regulatory, or Financial Services. Pref
- FINRA Licensing and Registration experience required.
Skills and Abilities:
- Knowledge of the FINRA Gateway
- Practical knowledge of key business control areas (Audit & Risk Review, Risk Management, Finance, Human Resources, Compliance and Legal) and governmental regulatory agencies. Pref
- Ability to quickly and effectively respond to inquiries.
- Ability to effectively deal with senior management and work cross-functionally as a team player.
- Ability to guide staff and numerous projects simultaneously.
- Ability to communicate effectively, and influence others, including senior leadership.
- Ability to work under pressure and within tight deadlines with a consistently high level of accuracy.
- Excellent verbal and written communication skills.
- Proactive and self-starter with high level of ownership and strong attention to detail.
- Motivated by daily operational processes and the opportunity to refine those processes.
- Advanced Microsoft Office (Excel, Word, PowerPoint, Outlook, Sharepoint) skills a plus.
- Strong project management skills.
Diversity & EEO Statements: At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams. 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. Occasional moving and lifting equipment and furniture is required to support onsite and offsite meeting setup and teardown. Physically capable of lifting up to fifty pounds, able to bend, kneel, climb ladders.
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 at any time for any reason.
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:
Maximum:
Primary Location:Â New York, NY, Madison Ave Corp
Other Locations:Â New York-New York
Organization:Â Santander US Capital Markets LLC
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