Job Location : New York,NY, USA
Country: United States of America
Position: Central Compliance VP
The Central Compliance VP monitors activities to minimize the company's exposure to risk. Responsibilities include data analysis, risk identification, and remediation. This role represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards.
The VP is responsible for ensuring that the company's activities adhere to necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions. More specifically, this role will provide compliance advisory and operational support for Licensing and Registration and Employee Compliance (including but not limited to Code of Conduct, Personal Account Dealing, Outside Business Activities, Gifts & Entertainment, Political Contributions, SEC Rule 15a-6 related certifications, Continuing Education).
Essential Functions/Responsibilities: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: Business, Finance or equivalent degree.
Work Experience:9+ Years Compliance, Legal, Regulatory, or Financial Services. Preferred FINRA Licensing and Registration experience required.
Skills and Abilities: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.
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 to 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 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.
Base Pay Range:Minimum: $86,250.00 USD Maximum: $160,000.00 USD
Primary Location:New York, NY, Madison Ave Corp
Other Locations:New York-New York
Organization:Santander US Capital Markets LLC
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