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Sr. Director , Fixed Income Advisory Compliance

Company: Santander Holdings USA Inc
Location: East Orange
Posted on: November 21, 2022

Job Description:

Sr. Director , Fixed Income Advisory ComplianceCountry: United States of AmericaWHAT YOU WILL BE DOINGPOSITION SUMMARY:The Sr. Director, Fixed Income Advisory Compliance manages and continuously enhances the overall regulatory Compliance Program for the enterprise and its affiliates. This individual is responsible for maintaining oversight, control and direction for enterprise-wide compliance with various Federal, State and non-US financial controls and regulations. - They will be responsible for collaborating across US business and foreign affiliates to deliver US regulatory subject matter expertise to the New York Branch, the registered Swap Dealer, Security-Based Swap Dealer and affiliated US broker-dealer.Responsibilities:

  • Provide regulatory advice and support to the New York Branch, the (non-US) Swap Dealer and Security-Based Swap Dealer and the US registered broker-dealer across various products and activities, including rates, FX, repo/securities lending;
  • Monitor regulatory changes, participate in industry associations and advise on implementation efforts;
  • Assist with regulatory examinations and inquiries, internal audits and compliance testing;
  • Execute regulatory controls, including trade surveillance and monitoring;
  • Evaluate new products, programs, services and business initiatives to ensure compliance with applicable rules, regulations and internal policies;
  • Develop, review, enhance and implement strategies, policies, and procedures;
  • Maintain close working knowledge of all applicable industry rules and;
  • Prepare reports for management on loss incidents and resulting corrective actions;
  • Assist in preparation of management information reporting and governance materials.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 experienceWork Experience:
      • 9+ years ; Compliance, Legal, Regulatory, or Financial Services.
      • 5+ years Compliance, Legal, Regulatory with Derivatives experience
      • In-depth knowledge and comprehension of securities and derivative rules and regulations (SEC, FINRA CFTC, NFA);Skills and Abilities:
        • Ability to adapt and adjust to multiple demands and competing priorities;
        • Ability to adjust to new developments/changing circumstances;
        • Ability to communicate with senior executive leadership;
        • Ability to convey a sense of urgency and drive issues/projects to closure;
        • Ability to direct, train and guide peers, subordinates and management;
        • Ability to effectively communicate and build relationships with multiple levels of the organizational structure, including senior level management;
        • Ability to effectively communicate with senior management and Regulators;
        • Ability to effectively interact with the market, executive management and vendors;
        • Advanced knowledge of Financial Services rules and regulations;
        • Understanding of Enterprise Compliance Risk Management and best practices;
        • Demonstrated experience in compliance, Legal and/or operations position within the securities or banking industry;
        • Excellent analytical, organizational and project management skills;
        • Excellent problem solving, analytical ability, oral and written communication skills;
        • Excellent written and oral communication skills;Diversity & EEO Statements: At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams. 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.Employer Rights: 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.For NYC Job Applicants: The base annual salary range for this position is $105,000-$160,000. - The exact compensation may vary based on skills, experience, training, licensure and certifications and location. Masters of Science (MS) English

          Primary Location: -New York, New York, United States of America
          Other Locations: -New York-New York
          Organization: -NY Santander Investment Securities Inc.

Keywords: Santander Holdings USA Inc, East Orange , Sr. Director , Fixed Income Advisory Compliance, Executive , East Orange, New Jersey

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