156 Supervision jobs in the United States
Supervision Aide
Posted 13 days ago
Job Viewed
Job Description
Founded in 1994, as one of the first charter schools in California, TAS was guided then, and the charter cluster still is today, by the founding belief that all students can excel when nurtured in an environment that combines high expectations and active involvement from parents and the community. Through an innovative, rigorous curriculum coupled with intentional guidance and instruction, TAS strives to graduate students who are lifelong learners and engaged citizens, well-prepared to succeed in college and beyond.
Requirements / Qualifications
Supervision Manager
Posted today
Job Viewed
Job Description
+ Responsible for supervision oversight and ensuring adherence to firm and regulatory policies and procedures.
+ Perform reviews of client accounts and documents submitted by the branch.
+ Educates branch staff associates.
+ Escalates concerns to senior management and may propose new policies or procedures regarding risk, adhering to compliance and operational risk controls in accordance with company and regulatory standards.
+ Review and analyze monitoring reports and systems for suspicious/unusual patterns and follow-up with appropriate individual(s) for explanations and actions.
+ Coordinates registrations, continuing education, licensing, etc. of branch personnel.
+ Oversees branch activities.
+ Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch offices and work together with them to address and resolve these concerns.
+ Implements and enforces policies and procedures for all business platform branch office locations not currently staffed with a licensed and qualified branch manager by serving as the designated manager or branch manager delegate of these OSJ locations.
+ Monitors and keeps up to date with securities/advisory regulations and applies them accordingly.
+ Interprets, applies and recommends changes to organizational policies and procedures while adhering to compliance and operational risk controls in accordance with company and regulatory standards.
+ Handles all administrative matters in the hiring/termination of FA and their transition in and out of the branches.
+ Monitors Supervisory Center alerts and handles any necessary follow-up.
+ Researches and resolves complex problems relating to clients' accounts and inquiries.
+ Identify needs of the team and find solutions to complex issues
+ Communicates with the field regarding regulatory rules and firm policy changes.
+ Serve as the face of the organization and advocate for the branches we oversee.
+ Ensure any identified policy violations or branch deficiencies are addressed with the branch and fully remediated.
+ Travel to branch locations to perform required annual Branch Manager Supervisory Visits.
+ Performs other duties and responsibilities as assigned.
**Knowledge, Skills, and Abilities**
**Knowledge of**
+ Company policies and procedures and industry rules and regulations.
+ Investment concepts, practices and procedures used in the securities industry, financial markets and financial products.
**Skill in**
+ Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
+ Preparing and delivering clear, effective, and professional presentations.
+ Identifying the needs of customers through effective questioning and listening techniques.
+ Handling stressful situations and leading others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
+ Projecting a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
+ Employing good analytical skills to be able to research and resolve problems.
+ Establishing and communicating clear directions and priorities.
+ Utilizing good interpersonal and verbal and written communication skills to deal with clients, financial advisors, support staff and home office personnel.
+ Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
+ Effectively organizing, managing, tracking and completing multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
+ Working independently, under minimal supervision.
**Ability to**
+ Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude.
+ Establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes.
+ Project a professional and pleasant appearance and demeanor to work with clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment.
+ Travel extensively to perform required branch visits.
**Education/Previous Experience**
+ Bachelor's degree (B.A.) from four-year college or university, and a minimum of six (6) years' experience in a financial services firm / supervision
+ ~OR~
+ An equivalent combination of experience, education, and/or training as approved by Human Resources.
**Licenses/Certifications**
+ SIE required provided that an exemption or grandfathering cannot be applied
+ Series 7, 9/10 or 24, 66 or 63/65 required
+ Series 53, Life, Health and Variable Annuity Licenses preferred
Supervision Principal
Posted today
Job Viewed
Job Description
**Job Description**
As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership - including Regional Managers, Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures.
In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ examination process an conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed.
You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.
**Basic Qualifications**
- Bachelor's degree, or equivalent work experience
- Five or years of experience in the financial services industry
- Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses
**Preferred Skills/Experience**
- Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
- Strong critical thinking and problem solving skills with minimal oversight
- Well developed analytical and sound decision making capabilities
- Excellent communication skills, both verbal and written, with a collaborative approach
- Proficiency in Microsoft Office and other commonly used business software applications
**Location Expectations**
This role offers a hybrid/flexible schedule, which means there's an in office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ Healthcare (medical, dental, vision)
+ Basic term and optional term life insurance
+ Short-term and long-term disability
+ Pregnancy disability and parental leave
+ 401(k) and employer-funded retirement plan
+ Paid vacation (from two to five weeks depending on salary grade and tenure)
+ Up to 11 paid holiday opportunities
+ Adoption assistance
+ Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,345.00 - $115,700.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
Supervision Principal
Posted today
Job Viewed
Job Description
**Job Description**
As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership - including Regional Managers, Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures.
In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ examination process an conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed.
You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.
**Basic Qualifications**
- Bachelor's degree, or equivalent work experience
- Five or years of experience in the financial services industry
- Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses
**Preferred Skills/Experience**
- Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
- Strong critical thinking and problem solving skills with minimal oversight
- Well developed analytical and sound decision making capabilities
- Excellent communication skills, both verbal and written, with a collaborative approach
- Proficiency in Microsoft Office and other commonly used business software applications
**Location Expectations**
This role offers a hybrid/flexible schedule, which means there's an in office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ Healthcare (medical, dental, vision)
+ Basic term and optional term life insurance
+ Short-term and long-term disability
+ Pregnancy disability and parental leave
+ 401(k) and employer-funded retirement plan
+ Paid vacation (from two to five weeks depending on salary grade and tenure)
+ Up to 11 paid holiday opportunities
+ Adoption assistance
+ Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,345.00 - $115,700.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
Supervision Principal
Posted today
Job Viewed
Job Description
**Job Description**
As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership - including Regional Managers, Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures.
In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ examination process an conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed.
You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.
**Basic Qualifications**
- Bachelor's degree, or equivalent work experience
- Five or years of experience in the financial services industry
- Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses
**Preferred Skills/Experience**
- Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
- Strong critical thinking and problem solving skills with minimal oversight
- Well developed analytical and sound decision making capabilities
- Excellent communication skills, both verbal and written, with a collaborative approach
- Proficiency in Microsoft Office and other commonly used business software applications
**Location Expectations**
This role offers a hybrid/flexible schedule, which means there's an in office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ Healthcare (medical, dental, vision)
+ Basic term and optional term life insurance
+ Short-term and long-term disability
+ Pregnancy disability and parental leave
+ 401(k) and employer-funded retirement plan
+ Paid vacation (from two to five weeks depending on salary grade and tenure)
+ Up to 11 paid holiday opportunities
+ Adoption assistance
+ Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,345.00 - $115,700.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
Safety Supervision
Posted today
Job Viewed
Job Description
Job Description
Benefits:
- 401(k)
- Competitive salary
About the Role:
We are seeking a Safety Supervisor to join our team at One Way Safety at locations in Illinois, Wisconsin, and Indiana. As a leader in the safety industry, we are looking for a dedicated individual who is passionate about ensuring a safe work environment for all employees.
Responsibilities:
- Conduct regular safety inspections and audits
- Develop and implement safety policies and procedures
- Provide safety training to employees
- Investigate and report on workplace accidents and near misses
- Ensure compliance with all safety regulations and standards
- Minimum of 5 years of experience in safety supervision- must have references
- Knowledge of OSHA regulations and other relevant safety standards- OSHA 30
- Excellent communication and leadership skills
- Certification in safety management or related field- CHST or provide any training and certificates you have.
- Strong attention to detail and problem-solving abilities
One Way Safety has been a trusted provider of safety solutions for over 11 years. Our commitment to excellence and customer satisfaction sets us apart in the industry. Our employees enjoy a supportive and collaborative work environment, with opportunities for growth and development.
Associate, Investment Supervision
Posted today
Job Viewed
Job Description
Associate, Investment Supervision
Country: 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!
The Difference You Make:
The Associate, Investment Supervision key purpose is to identify, evaluate, and document trades for suitability in accordance with FINRA rules and industry regulations. Will reviews new accounts, trade activity and daily trade blotters. The Associate, Investment Supervision will work directly with Financial Advisors and field managers to resolve any documentation deficiencies and escalate cases as deemed appropriate.
• Identifies, evaluates and documents trades for suitability in accordance with FINRA rules and industry regulations.
• Reviews and assesses suitability associated with new accounts and /or products.
• Escalates Supervisory issues, as necessary to Supervisory Directors in the field, providing relevant recommendations as to the appropriate actions to be taken.
• Partners with Supervisory Directors in the field to help them resolve exceptions in a timely manner.
• Reviews transaction exceptions reports using rules based processes and close noted trade alerts.
• Raises inquiries for suspicious trades and communication red flags, conduct research independently and deeply, and communicate in accordance with the established procedure, and ensure timely closure of identified surveillance issues
• Works with Compliance, Operations and other Santander functions closely to research industry trends and peer practice, and continue improving our review process effectiveness
• Develops knowledge of financial markets, asset management and financial regulations in order to build a deep understanding of investment/trading risks.
• Provides backup coverage and cross-train others.
What You Bring:
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.
Bachelor's Degree or equivalent work experience: Sales Supervision, Compliance, Risk or equivalent field. - Preferred.
5+ Years Sales Supervision, Compliance, Audit, or Regulatory experience required - Required.
• Strong analytical background with the ability to analyze and summarize findings in a concise and clear format.
• Detailed oriented and possess high ethical standards.
• Knowledge/experience in trading and investments.
• Ability to operate independently within guidelines, policies, directives and established precedence.
• Strong technical skills, particularly with respect to Microsoft Excel.
• Genuine interest in and understanding of financial markets.
• Familiarity with a broad range of asset classes, including derivatives.
• Intellectual curiosity and problem solving skills.
• Strong communication skills and the ability to interact confidently with others.
• Ability to work independently with minimal supervision, while also maintaining appropriate levels of collaboration and cooperation with other team members.
• Sensitivity and tact must be especially evident in the performance of trade monitoring.
• Solid understanding of applicable Federal and State laws applicable to SEC registered broker-dealer.
• Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
• Sound judgment in identifying risks in order to proactively escalate with relevant senior management.
• Excellent written (drafting & editing) and spoken communication abilities.
• Excellent teamwork, interpersonal and conflict resolution skills.
Certifications:
• FINRA (Financial Industry Regulatory Authority) FINRA Series 7, 24, 66 (or equivalent, 63 and 65), Series 9 and 10 may replace the requirements for Series 24 - Required.
• FINRA (Financial Industry Regulatory Authority) FINRA Series 53 and 4, and state insurance licenses - Preferred.
It Would Be Nice For You To Have:
Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.
What Else You Need To Know :
The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience, training, licensure and certifications and location.
Base Pay Range
Minimum:
$63,750.00 USDMaximum:
$105,000.00 USDLink to Santander Benefits:
Santander Benefits - 2025 Santander OnGoing/NH eGuide (foleon.com)
Risk 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 :
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: Boston, MA, Boston
Other Locations: Massachusetts-Boston
Organization: Santander Bank N.A.
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Associate, Investment Supervision
Posted 1 day ago
Job Viewed
Job Description
Associate, Investment Supervision
Country: 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!
The Difference You Make:
The Associate, Investment Supervision key purpose is to identify, evaluate, and document trades for suitability in accordance with FINRA rules and industry regulations. Will reviews new accounts, trade activity and daily trade blotters. The Associate, Investment Supervision will work directly with Financial Advisors and field managers to resolve any documentation deficiencies and escalate cases as deemed appropriate.
• Identifies, evaluates and documents trades for suitability in accordance with FINRA rules and industry regulations.
• Reviews and assesses suitability associated with new accounts and /or products.
• Escalates Supervisory issues, as necessary to Supervisory Directors in the field, providing relevant recommendations as to the appropriate actions to be taken.
• Partners with Supervisory Directors in the field to help them resolve exceptions in a timely manner.
• Reviews transaction exceptions reports using rules based processes and close noted trade alerts.
• Raises inquiries for suspicious trades and communication red flags, conduct research independently and deeply, and communicate in accordance with the established procedure, and ensure timely closure of identified surveillance issues
• Works with Compliance, Operations and other Santander functions closely to research industry trends and peer practice, and continue improving our review process effectiveness
• Develops knowledge of financial markets, asset management and financial regulations in order to build a deep understanding of investment/trading risks.
• Provides backup coverage and cross-train others.
What You Bring:
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.
Bachelor's Degree or equivalent work experience: Sales Supervision, Compliance, Risk or equivalent field. - Preferred.
5+ Years Sales Supervision, Compliance, Audit, or Regulatory experience required - Required.
• Strong analytical background with the ability to analyze and summarize findings in a concise and clear format.
• Detailed oriented and possess high ethical standards.
• Knowledge/experience in trading and investments.
• Ability to operate independently within guidelines, policies, directives and established precedence.
• Strong technical skills, particularly with respect to Microsoft Excel.
• Genuine interest in and understanding of financial markets.
• Familiarity with a broad range of asset classes, including derivatives.
• Intellectual curiosity and problem solving skills.
• Strong communication skills and the ability to interact confidently with others.
• Ability to work independently with minimal supervision, while also maintaining appropriate levels of collaboration and cooperation with other team members.
• Sensitivity and tact must be especially evident in the performance of trade monitoring.
• Solid understanding of applicable Federal and State laws applicable to SEC registered broker-dealer.
• Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
• Sound judgment in identifying risks in order to proactively escalate with relevant senior management.
• Excellent written (drafting & editing) and spoken communication abilities.
• Excellent teamwork, interpersonal and conflict resolution skills.
Certifications:
• FINRA (Financial Industry Regulatory Authority) FINRA Series 7, 24, 66 (or equivalent, 63 and 65), Series 9 and 10 may replace the requirements for Series 24 - Required.
• FINRA (Financial Industry Regulatory Authority) FINRA Series 53 and 4, and state insurance licenses - Preferred.
It Would Be Nice For You To Have:
Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.
What Else You Need To Know :
The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience, training, licensure and certifications and location.
Base Pay Range
Minimum:
$63,750.00 USDMaximum:
$105,000.00 USDLink to Santander Benefits:
Santander Benefits - 2025 Santander OnGoing/NH eGuide (foleon.com)
Risk 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 :
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: Boston, MA, Boston
Other Locations: Massachusetts-Boston
Organization: Santander Bank N.A.
Associate, Investment Supervision
Posted today
Job Viewed
Job Description
Associate, Investment Supervision Country: United States of America Your 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! The Difference You Make: The Associate, Investment Supervision key purpose is to identify, evaluate, and document trades for suitability in accordance with FINRA rules and industry regulations. Will reviews new accounts, trade activity and daily trade blotters. The Associate, Investment Supervision will work directly with Financial Advisors and field managers to resolve any documentation deficiencies and escalate cases as deemed appropriate. • Identifies, evaluates and documents trades for suitability in accordance with FINRA rules and industry regulations. • Reviews and assesses suitability associated with new accounts and /or products. • Escalates Supervisory issues, as necessary to Supervisory Directors in the field, providing relevant recommendations as to the appropriate actions to be taken. • Partners with Supervisory Directors in the field to help them resolve exceptions in a timely manner. • Reviews transaction exceptions reports using rules based processes and close noted trade alerts. • Raises inquiries for suspicious trades and communication red flags, conduct research independently and deeply, and communicate in accordance with the established procedure, and ensure timely closure of identified surveillance issues • Works with Compliance, Operations and other Santander functions closely to research industry trends and peer practice, and continue improving our review process effectiveness • Develops knowledge of financial markets, asset management and financial regulations in order to build a deep understanding of investment/trading risks. • Provides backup coverage and cross-train others. What You Bring: 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. Bachelor's Degree or equivalent work experience: Sales Supervision, Compliance, Risk or equivalent field. - Preferred. 5 Years Sales Supervision, Compliance, Audit, or Regulatory experience required - Required. • Strong analytical background with the ability to analyze and summarize findings in a concise and clear format. • Detailed oriented and possess high ethical standards. • Knowledge/experience in trading and investments. • Ability to operate independently within guidelines, policies, directives and established precedence. • Strong technical skills, particularly with respect to Microsoft Excel. • Genuine interest in and understanding of financial markets. • Familiarity with a broad range of asset classes, including derivatives. • Intellectual curiosity and problem solving skills. • Strong communication skills and the ability to interact confidently with others. • Ability to work independently with minimal supervision, while also maintaining appropriate levels of collaboration and cooperation with other team members. • Sensitivity and tact must be especially evident in the performance of trade monitoring. • Solid understanding of applicable Federal and State laws applicable to SEC registered broker-dealer. • Strong analytical and investigative skills and demonstrated ability to operate at a strategic level. • Sound judgment in identifying risks in order to proactively escalate with relevant senior management. • Excellent written (drafting & editing) and spoken communication abilities. • Excellent teamwork, interpersonal and conflict resolution skills. Certifications: • FINRA (Financial Industry Regulatory Authority) FINRA Series 7, 24, 66 (or equivalent, 63 and 65), Series 9 and 10 may replace the requirements for Series 24 - Required. • FINRA (Financial Industry Regulatory Authority) FINRA Series 53 and 4, and state insurance licenses - Preferred. It Would Be Nice For You To Have: Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education. What Else You Need To Know : The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience, training, licensure and certifications and location. Base Pay Range Minimum: $63,750.00 USD Maximum: $105,000.00 USD Link to Santander Benefits: Santander Benefits - 2025 Santander OnGoing/NH eGuide (foleon.com) Risk 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 : 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: Boston, MA, Boston Other Locations: Massachusetts-Boston Organization: Santander Bank N.A.aa415a4b-8b21-40fc-a65c-70d2b25ca29a
Associate, Investment Supervision
Posted 1 day ago
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Job Description
Associate, Investment Supervision
Country: 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!
The Difference You Make:
The Associate, Investment Supervision key purpose is to identify, evaluate, and document trades for suitability in accordance with FINRA rules and industry regulations. Will reviews new accounts, trade activity and daily trade blotters. The Associate, Investment Supervision will work directly with Financial Advisors and field managers to resolve any documentation deficiencies and escalate cases as deemed appropriate.
• Identifies, evaluates and documents trades for suitability in accordance with FINRA rules and industry regulations.
• Reviews and assesses suitability associated with new accounts and /or products.
• Escalates Supervisory issues, as necessary to Supervisory Directors in the field, providing relevant recommendations as to the appropriate actions to be taken.
• Partners with Supervisory Directors in the field to help them resolve exceptions in a timely manner.
• Reviews transaction exceptions reports using rules based processes and close noted trade alerts.
• Raises inquiries for suspicious trades and communication red flags, conduct research independently and deeply, and communicate in accordance with the established procedure, and ensure timely closure of identified surveillance issues
• Works with Compliance, Operations and other Santander functions closely to research industry trends and peer practice, and continue improving our review process effectiveness
• Develops knowledge of financial markets, asset management and financial regulations in order to build a deep understanding of investment/trading risks.
• Provides backup coverage and cross-train others.
What You Bring:
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.
Bachelor's Degree or equivalent work experience: Sales Supervision, Compliance, Risk or equivalent field. - Preferred.
5+ Years Sales Supervision, Compliance, Audit, or Regulatory experience required - Required.
• Strong analytical background with the ability to analyze and summarize findings in a concise and clear format.
• Detailed oriented and possess high ethical standards.
• Knowledge/experience in trading and investments.
• Ability to operate independently within guidelines, policies, directives and established precedence.
• Strong technical skills, particularly with respect to Microsoft Excel.
• Genuine interest in and understanding of financial markets.
• Familiarity with a broad range of asset classes, including derivatives.
• Intellectual curiosity and problem solving skills.
• Strong communication skills and the ability to interact confidently with others.
• Ability to work independently with minimal supervision, while also maintaining appropriate levels of collaboration and cooperation with other team members.
• Sensitivity and tact must be especially evident in the performance of trade monitoring.
• Solid understanding of applicable Federal and State laws applicable to SEC registered broker-dealer.
• Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
• Sound judgment in identifying risks in order to proactively escalate with relevant senior management.
• Excellent written (drafting & editing) and spoken communication abilities.
• Excellent teamwork, interpersonal and conflict resolution skills.
Certifications:
• FINRA (Financial Industry Regulatory Authority) FINRA Series 7, 24, 66 (or equivalent, 63 and 65), Series 9 and 10 may replace the requirements for Series 24 - Required.
• FINRA (Financial Industry Regulatory Authority) FINRA Series 53 and 4, and state insurance licenses - Preferred.
It Would Be Nice For You To Have:
Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.
What Else You Need To Know :
The base pay range for this position is posted below and represents the annualized salary range. For hourly positions (non-exempt), the annual range is based on a 40-hour work week. The exact compensation may vary based on skills, experience, training, licensure and certifications and location.
Base Pay Range
Minimum:
$63,750.00 USDMaximum:
$105,000.00 USDLink to Santander Benefits:
Santander Benefits - 2025 Santander OnGoing/NH eGuide (foleon.com)
Risk 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 :
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: Boston, MA, Boston
Other Locations: Massachusetts-Boston
Organization: Santander Bank N.A.