VP, Global Business Line Compliance Advisory (SCIB)

Company: Santander Holdings USA Inc
Location: New York
Posted on: January 30, 2025

Job Description:

VP, Global Business Line Compliance Advisory (SCIB)New York, United States of AmericaUSA Job Family Description: Monitors activities to minimize the company's exposure to risk. Activities may include quantitative 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 all of the company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions.USA Job Function Description: Monitors activities to minimize the company's exposure to risk. Activities may include quantitative analysis, risk identification and remediation. Represents or supports the representation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that all of the company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions.Job Description

• Provide real-time advisory support to the U.S. Global Banking coverage business including Debt and Equity Capital Markets, M&A, Leveraged Finance, Lending, Structuring, execution, and syndication of securities.
• Provide advice on issues related to confidential information, information barriers, communication with the public, cross border, marketing materials as well as interactions with research.
• Developing relationships with key stakeholders within the Bank e.g., Legal, Risk, First Line Control teams, building credibility for the Compliance function and enhancing the Compliance brand more widely.
• Work collaboratively with the Global advisory teams including Group Compliance where necessary to ensure a consistent and common approach with respect to SCIB policies and procedures.
• Assist with the drafting and delivery of Global and local SCIB Compliance trainings e.g. Annual Compliance Refresher training as well as ad hoc trainings.
• On-going identification of Risks including but not limited to regulatory and conduct.
• Monitor regulatory changes, participate in industry associations, and advise in implementation efforts.
• Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
• Assist with regulatory examinations and inquiries, internal audits, and compliance testing.
• Maintain close working knowledge of all applicable industry rules and regulations and work directly with senior leadership in policy making decisions.
• Prepare reports for top management on loss incidents and resulting corrective actions.
• Assist in preparation of management information reporting and governance materials.Qualifications:
  • 3+ years financial industry experience -within a U.S. regulated financial institution, specific work experience with broker-dealer federal and state regulations.
  • Experience in providing regulatory or compliance advice in connection with investment banking advisory engagements and transactions.
  • Functional knowledge of FINRA, SEC, broker dealer regulations; knowledge of Regulation M, SEC 10b-5, and 10b-18 as well as industry best practices
  • Ability to prioritize and manage multiple tasks in a high-pressure environment.
  • Strong critical thinking and analysis skills, verbal and written communications skills, and project management skills.Education:
    • Bachelor's Degree or equivalent; JD or MBA a plusSkills and Abilities:
      • 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.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.
        
        Primary Location: -New York, NY, Madison Ave Corp
        Other Locations: -New York-New York
        Organization: -Banco Santander S.A.Salary: $90,000 - $165,000/year

Keywords: Santander Holdings USA Inc, East Orange , VP, Global Business Line Compliance Advisory (SCIB), Accounting, Auditing , New York, New Jersey