VP - Employee Compliance, Central Compliance Team CIB

Santander • Miami, FL

4d • $135,000 - $190,000 • Hybrid

About The Position

The VP, Employee Compliance is responsible for administering the Firm's Employee Compliance Program with a primary focus on Personal Securities Trading ("PST"), Personal Account Dealing ("PAD"), employee brokerage account monitoring, conflicts of interest, and compliance with applicable regulatory requirements and Firm policies. The role supports the design, implementation, monitoring, and enhancement of controls related to employee trading activities, personal account disclosures, restricted securities, watch list controls, private investments, outside business activities, gifts and entertainment, and other employee conduct-related compliance matters. The position works closely with Legal, Compliance, Human Resources, Risk, Internal Audit, Technology, and business stakeholders to identify and mitigate regulatory and reputational risks.

Requirements

• Bachelor’s Degree: in related field or equivalent demonstrated through a combination of work experience, training, military service, or education - Required
• 5+ Years Compliance, Legal, Regulatory, or Financial Services. - Required
• Strong understanding of FINRA, SEC, and broker-dealer regulatory requirements.
• Experience managing complex investigations and regulatory matters.
• 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.
• Experience working with surveillance and monitoring tools.
• Strong analytical, investigative, and critical thinking skills.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities in a fast-paced regulatory environment.
• Ability to be adept in identifying and resolving complex risk management problems.
• Ability to build and foster internal and external relationships.
• Ability to analyze risk and design efficient control practices to minimize risk.
• Ability to lead, influence and direct peers, subordinates and management.
• Ability to make effective decision making on complex matters.
• Ability to convey a sense or urgency and drive.
• Ability to multi-task and meet strict deadlines.
• Ability to adjust to new developments/changing circumstances.
• Ability to interact with senior level management; experience interfacing with multiple levels of the organizational structure.
• Self-directed, self-motivated and demonstrated experience providing ideas and solutions to further business understanding.
• Applicants must be legally authorized to work in the United States on a full-time basis without requiring employer sponsorship to commence employment.

Nice To Haves

• Master's Degree: in related field or equivalent demonstrated through a combination of work experience, training, military service, or education - Preferred
• Experience with employee compliance platforms such as StarCompliance, MCO (MyComplianceOffice), Schwab Compliance Technologies, or similar systems. - Preferred
• FINRA registrations (Series 7, 79, or similar) preferred or willingness to obtain. - Preferred
• Demonstrated experience administering personal securities trading or employee compliance programs.
• Knowledge of CFTC Swap AP and SEC SBS AP registration frameworks is a plus.
• Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.

Responsibilities

• Administer the Firm's Personal Securities Trading and Personal Account Dealing program.
• Review and approve employee personal trading requests, personal account disclosure in accordance with Firm policies and regulatory requirements.
• Monitor employee trading activity for compliance with Firm restrictions, holding periods, restricted lists, watch lists, and insider trading controls.
• Conduct reviews of employee brokerage account disclosures, account feeds, and account statements.
• Investigate potential violations of employee trading policies and escalate issues as appropriate.
• Maintain employee account inventories and ensure required account certifications and attestations are completed.
• Review employee investment holdings, transactions, and account activity for potential conflicts of interest.
• Support monitoring of outside business activities, private investments, and other employee investment activities requiring review or approval.
• Administer employee compliance disclosures and certifications, including: Outside Business Activities (OBAs), Private Securities Transactions (PSTs), Gifts and Entertainment, Political Contributions, Conflicts of Interest, Code of Conduct certifications, Annual compliance attestations.
• Review and assess employee disclosures for regulatory, reputational, and conflict risks.
• Support the administration of FINRA registration and licensing requirements, including employee registration status, continuing education obligations, and related regulatory filings.
• Maintain employee compliance records and support documentation.
• Assist in the development and enhancement of employee compliance policies, procedures, and controls.
• Perform reviews and exception analysis related to employee trading and conduct.
• Conduct investigations of potential policy violations and prepare findings, recommendations, and escalation materials.
• Support regulatory inquiries, examinations, audits, and internal reviews.
• Identify trends, emerging risks, and opportunities to enhance monitoring controls.
• Interpret and apply applicable regulatory requirements, including SEC, FINRA, broker-dealer, investment adviser, and Firm-specific obligations.
• Support compliance risk assessments and regulatory change management initiatives.
• Assist with compliance testing and monitoring activities.
• Prepare management reporting, metrics, and governance materials.
• Advises management on current issues regarding banking.
• Serves as a subject matter expert to ensure documents, projects, processes or product initiatives comply with regulatory and legal requirements and enterprise policy.
• Partners with managers in assigned business unit to respond to reports issued by regulatory agencies or audit.
• Identifies systemic procedural weaknesses and additional training requirements needed to ensure compliance.
• Responds to regulatory inquiries and third party examiners.
• Collaborates across business units within the organization to ensure consistency in policies and procedures.
• Identifies compliance opportunities and potential solutions.
• Performs risk assessments, synthesizes analyses, identifies root cause(s), and provides recommendations to management.
• Provides compliance input on business action plans, projects, or operational requests.
• Provides insight and guides management on issues.
• Leads and influence cross functional enterprise projects or compliance teams.
• Leads efforts to improve standardization and efficiency of responses to regulators.
• Offers recommendations and makes project related decisions within scope of work assignment.
• Serves as a resources to team members on escalated issues of unusual nature.
• Mentors and enhances compliance staff knowledge competencies.
• Ensures proper implementation of business requirements and identifies outstanding compliance issues.

Benefits

• Base Pay Range: Minimum: $135,000.00 USD Maximum: $190,000.00 USD
• Fair and competitive rewards package
• Benefits designed to support you, your family and your well-being, now and into the future.

What This Job Offers

• Job Type: Full-time
• Career Level: Executive