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VP, Markets Compliance SME

New York, NY, USA | Santander Consumer USA

  • Industry:
    Financial Services
  • Position Type:
    Full-Time
  • Functions:
    General Management
    Legal / Compliance
  • Experience:
    10-12 years
Job Description:
57 people have viewed this job

Responsibilities:


Provide Compliance support for the Trading Groups (equity, ETD, bonds)

Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules.Communicate with traders and supervisors to assess risk and remediate issues.

Assist in the maintenance of written supervisory procedures.

Assist in regulatory reviews, including inquiries, audits and exams.

Deliver applicable training for business unit personnel

Monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new or amended regulations.

Interact with technology support and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation.


At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams. We encourage everyone to apply.


10+ years of Compliance experience  

7+ years of Compliance experience with respect to trading (ETD, bonds, equities)


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