Compliance Officer - Markets Business Line Advisory Compliance

Company: Santander Holdings USA Inc
Location: New York
Posted on: May 13, 2025

Job Description:

Compliance Officer - Markets Business Line Advisory ComplianceCountry: United States of AmericaYour Journey Starts Here:Santander is a global leader and innovator in the financial services industry. We believe that our employees are our greatest asset. Our focus is on fostering an enriching journey that empowers you to explore diverse career opportunities while nurturing your personal growth. We are committed to creating an environment where continuous learning and development are prioritized, enabling you to thrive both professionally and personally. Here, you will find ample opportunities to connect and collaborate with talented colleagues from around the world, sharing insights and driving innovation together. Join us at Santander, where you are supported by a culture of engagement and a commitment to your success.An exciting journey awaits, if you are interested in exploring the possibilities We Want to Talk to You!USA Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business which focus on credit, rates, securitized product, foreign exchange and emerging markets debt (derivatives experience is preferred). The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank's compliance with regulation and internal policy. Responsibilities include advising on issues (questions, problems, or proposals) related to markets sales and trading activities, rule/regulation interpretation, trading reporting, surveillance, supervision, policies, procedures and other issues that are typical for a global investment bank. USA Job Function Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business which focus on credit, rates, securitized product, foreign exchange and emerging markets debt (derivatives experience is preferred). The candidate for this role will implement a comprehensive and sustainable compliance framework to ensure the bank's compliance with regulation and internal policy. Responsibilities include advising on issues (questions, problems, or proposals) related to markets sales and trading activities, rule/regulation interpretation, trading reporting, surveillance, supervision, policies, procedures and other issues that are typical for a global investment bank. Essential Functions/Responsibility Statements:Provide real-time advisory services to the fixed income sales and trading businesses; monitor and identify regulatory trends and developments that may impact business areas/products and advise staff as to how this may impact their current activities;Advise business areas of Firm policies and procedures and applicable securities laws/regulations; draft, update and implement relevant policies/procedures;Provide regulatory/compliance training; assist the Business in implementing and documenting various supervisory/control mechanisms in partnership with local and global support functions;Participate in internal investigations, respond to regulatory inquiries, and coordinate internal/external audits and inspections; interact with federal and state regulators;On-going identification of risks, including but not limited to regulatory and conduct, and participation in annual risk assessments;Developing relationships with key stakeholders within the Bank (e.g., Legal, Risk, First Line Control teams) and build credibility for the Compliance function and enhance the Compliance brand more widely;Work collaboratively with the Global and US Compliance teams where necessary to ensure a consistent and common approach with respect to SCIB and Santander US policies and procedures;Oversee US Treasury auction process to ensure compliance with myriad of reporting and disclosure requirements;Prepare reports for top management and assist in the preparation of management information reporting and governance materials;Ensure timely regulatory filings and certifications.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.EducationBachelor's Degree or equivalent; JD or MBA a plusRelevant experience of securities preferably in a global investment bank or law firm. Similar experience with a regulator will also be considered.Work Experience5+ years financial industry experience within a US regulated financial institution in a similar advisory compliance capacity.Skills and AbilitiesExperience in providing regulatory or compliance advise in connection with markets sales and trading activitiesFunctional knowledge of the US Fixed Income trading/regulatory framework, including FINRA, SEC broker dealer regulations and other relevant bank regulations; knowledge of FRB, CFTC, FCM laws, rules and regulations a plusStrong analytical, written and verbal communication skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration amongst Compliance, the business and other infrastructure functionsAbility to make, support, and defend difficult and complex regulatory/compliance decisions in a fast-paced and high-pressured environmentAction oriented and delivery focused with a disciplined approach and an ability to be proactive, work under pressure and within tight deadlines while maintaining accuracy, showing initiative and reacting quickly to changes in prioritiesAbility to project confidence and professionalism in dealing with senior business personnelEEO Statement: At Santander, we value and respect our differences in our workforce. We actively encourage everyone to apply.Santander is an equal opportunity employer. All qualified applicants will receive compensation for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristics 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 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 mangers 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 reasonRisk Culture:We embrace a strong risk culture and all of our professionals at all levels are expected to take a proactive and responsible approach toward risk management.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 is required for this role. Depending on location, occasional moving and lifting light equipment and/or furniture may be required.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 your employment at any time for any reason.What To Do Next:Review the internal eligibility guidelines . If this sounds like a role you are interested in, then please apply.We are committed to providing an inclusive and accessible application process for all candidates. If you require any assistance or accommodation due to a disability or any other reason, please contact us at to discuss your needs.

Primary Location: -New York, NY, Madison Ave Corp
Other Locations: -New York-New York
Organization: -Santander US Capital Markets LLCSalary: $90,000 - $165,000/year

Keywords: Santander Holdings USA Inc, Scranton , Compliance Officer - Markets Business Line Advisory Compliance, Other , New York, Pennsylvania