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

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.

• 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