Senior Associate, Investment Supervision

About the role

The Senior Associate, Investment Supervision will lead a team of Financial Advisors to ensure strict adherence to FINRA rules and industry regulations. Based in Miami, this role blends oversight, analytical review, and collaboration with field managers to maintain high compliance standards.

Key responsibilities

• Oversee a group of Financial Advisors to ensure compliance with FINRA rules and industry regulations.
• Review new accounts, trade activity, and daily trade blotters as a player/coach.
• Work directly with Financial Consultants and field managers to resolve documentation deficiencies and escalate cases when needed.
• Identify, evaluate, and document trades for Regulation Best Interest and suitability.
• Assess best‑interest and suitability of new accounts and products.
• Partner with Directors to resolve exceptions promptly.
• Review transaction exception reports using rule‑based processes and close noted trade alerts.
• Raise inquiries for suspicious trades and communication red flags, conduct independent research, and ensure timely closure of surveillance issues.
• Collaborate with Compliance, Operations, and other Santander functions to research industry trends and improve review processes.
• Develop knowledge of financial markets, asset management, and regulations to understand investment and trading risks.
• Provide backup coverage and cross‑train team members.

Required profile

• Bilingual in English and Spanish (required).
• Bachelor’s degree or equivalent experience in sales supervision, compliance, risk, or a related field (preferred).
• 9+ years of experience in supervision, compliance, audit, or regulatory roles (preferred).
• Strong analytical background with the ability to summarize findings clearly.
• Detail‑oriented with high ethical standards.
• Knowledge of equity, FX, credit, structured products, and alternative investments.

Required skills

• Excel