What are the responsibilities and job description for the Vice President, Global Business Line Compliance Advisory position at Santander Holdings USA Inc?
Position Overview :
We are seeking a dynamic and experienced Vice President for our Global Business Line Compliance Advisory team. This role is pivotal in supporting our growth and ensuring adherence to compliance standards across various sectors, including Debt and Equity Capital Markets, M&A, and more. The ideal candidate will bring a wealth of knowledge and a proactive approach to risk management in a U.S. regulated financial environment.
Key Responsibilities :
Offer real-time advisory support to our Global Banking coverage business.
Provide guidance on confidentiality, communication, and marketing material compliance.
Build strong relationships with key stakeholders, enhancing the credibility of the Compliance function.
Collaborate with global advisory teams on compliance policies and procedures.
Assist in delivering training programs to ensure compliance awareness.
Continuously identify regulatory and conduct risks.
Stay updated with regulatory changes and advise on implementation.
Participate in internal investigations and coordinate audits and inspections.
Prepare management reports on risk incidents and corrective actions taken.
Contribute to management information reporting and governance activities.
Qualifications :
Minimum of 3 years of experience in the financial industry, focusing on U.S. broker-dealer regulations.
Proven experience providing compliance advice for investment banking engagements.
Strong knowledge of FINRA, SEC, and other relevant regulations.
Ability to manage multiple priorities in a fast-paced environment.
Excellent analytical, communication, and project management skills.
Education :
Bachelor's Degree or equivalent; JD or MBA preferred.
Skills and Abilities :
Advanced understanding of regulatory compliance and industry regulations.
Proven track record in facilitating change and achieving results.
Expertise in identifying compliance opportunities and resolutions.
Detail-oriented with a strategic outlook.
Exceptional interpersonal and customer service skills.
Strong written and verbal communication capabilities.
Excellent critical thinking skills for complex risk management issues.
Proficient project management skills.
Able to establish and maintain strong relationships internally and externally.
Location : New York, NY, Madison Ave Corp
We are committed to inclusivity and encourage all qualified individuals to apply, regardless of background.
Banco Santander S.A. offers equal employment opportunities to all applicants.
