What are the responsibilities and job description for the US Control Room Officer- Associate, Corporate & Investment Banking (CIB) position at Santander US?
New York, United States of America
USA Job Family Description: The Santander CIB (US) Control Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The Associate, Control Room officer is responsible for working with the US Head of the Control Room to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, global requirements and key compliance issues and actions are taken to mitigate compliance risk.
USA Job Function Description: The Santander CIB (US) Control Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The Associate, Control Room officer is responsible for working with the US Head of the Control Room to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, global requirements and key compliance issues and actions are taken to mitigate compliance risk.
Essential Functions/Responsibility Statements
Undertakes standard reviews and escalates to senior staff where non-compliances are identified.
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.
Coaches and reviews work of junior level Compliance professionals.
Assesses procedures and policies to ensure the business units are in compliance with standard regulatory and policy requirements.
Prepares drafting of policy and procedural documentation when control changes are made.
Transfers work product into simple guidance/templates for future reference.
Analyzes existing and proposed legislation, regulatory announcements, and industry practices for compliance requirements, and implements procedures to meet these requirements for applicable business units.
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 or equivalent work experience in Business, Finance or equivalent degree. Req
Master's Degree in Business, Finance or equivalent field. Pref
Work Experience
Compliance, Legal, Regulatory, or Financial Services., 5 Years Pref
Skills And Abilities
Practical knowledge of corporate regulatory requirements, and factors influencing the business in which the Corporation operates.
Practical knowledge of key business control areas (Audit & Risk Review, Risk Management, Finance, Human Resources, and Legal) and governmental regulatory agencies.
Resolve complex situations with internal clients and regulators, while maintaining a professional presence.
Quickly respond to inquiries from regulatory agencies, internal partners, and external consultants.
Read, analyze and interpret government regulations, trade journals and legal documents.
Effectively deal with senior management as well as, Federal/State and other Regulators.
Able to work cross-functionally as a team player.
Mentor and guide staff and numerous projects simultaneously.
Ability to influence others, including senior leadership.
Excellent verbal and written communication skills.
EEO Statement: At Santander, we value and respect differences in our workforce. 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: Santander US Capital Markets LLC
Salary: $71,250 - $130,000/year
USA Job Family Description: The Santander CIB (US) Control Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The Associate, Control Room officer is responsible for working with the US Head of the Control Room to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, global requirements and key compliance issues and actions are taken to mitigate compliance risk.
USA Job Function Description: The Santander CIB (US) Control Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The Associate, Control Room officer is responsible for working with the US Head of the Control Room to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, global requirements and key compliance issues and actions are taken to mitigate compliance risk.
Essential Functions/Responsibility Statements
Undertakes standard reviews and escalates to senior staff where non-compliances are identified.
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.
Coaches and reviews work of junior level Compliance professionals.
Assesses procedures and policies to ensure the business units are in compliance with standard regulatory and policy requirements.
Prepares drafting of policy and procedural documentation when control changes are made.
Transfers work product into simple guidance/templates for future reference.
Analyzes existing and proposed legislation, regulatory announcements, and industry practices for compliance requirements, and implements procedures to meet these requirements for applicable business units.
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 or equivalent work experience in Business, Finance or equivalent degree. Req
Master's Degree in Business, Finance or equivalent field. Pref
Work Experience
Compliance, Legal, Regulatory, or Financial Services., 5 Years Pref
Skills And Abilities
Practical knowledge of corporate regulatory requirements, and factors influencing the business in which the Corporation operates.
Practical knowledge of key business control areas (Audit & Risk Review, Risk Management, Finance, Human Resources, and Legal) and governmental regulatory agencies.
Resolve complex situations with internal clients and regulators, while maintaining a professional presence.
Quickly respond to inquiries from regulatory agencies, internal partners, and external consultants.
Read, analyze and interpret government regulations, trade journals and legal documents.
Effectively deal with senior management as well as, Federal/State and other Regulators.
Able to work cross-functionally as a team player.
Mentor and guide staff and numerous projects simultaneously.
Ability to influence others, including senior leadership.
Excellent verbal and written communication skills.
EEO Statement: At Santander, we value and respect differences in our workforce. 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: Santander US Capital Markets LLC
Salary: $71,250 - $130,000/year
Salary : $71,250 - $130,000
