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Advisor, Compliance Marketing

Apply Req ID: 2003214 Date posted 10/15/2020
Advisor, Compliance Marketing -2003214

Description

Job Description



Job Family: Risk

Monitors activities to minimize the company's exposure to risk. Activities may include quantitative analysis, risk identification and remediation. 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. Responsible for ensuring that all of the company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions.

Job Function: Compliance

Monitors activities to minimize the company's exposure to risk. Activities may include quantitative analysis, risk identification and remediation. Represents or supports the representation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that all of the company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions.

Summary of Responsibilities:

The Advisor, Compliance is primarily responsible for ensuring the company complies with regulatory requirements and internal policy and procedures. S/he undertakes standard reviews and escalates to senior staff where non-compliances are identified. 



Essential Functions:

·Undertakes standard reviews and escalates to senior staff where non-compliances are identified.

·Identifies systemic procedural weaknesses and additional training requirements needed to ensure compliance.

·Evaluates controls in place to ensure continuous compliance measures with laws, regulations and policies affecting the organization, recommends process improvements to management.

·Collaborates with team on projects and program tasks intended to improve compliance and enhance the control environment.

·Coaches and reviews work of junior level Compliance professionals.

·Assesses procedures and policies to ensure the business units are in compliance with standard regulatory and policy requirements.

·Prepares drafting of policy and procedural documentation when control changes are made.

·Transfers work product into simple guidance/templates for future reference.

·Analyzes existing and proposed legislation, regulatory announcements, and industry practices for compliance requirements, and implements procedures to meet these requirements for applicable business units.

·Validates controls or project plans to ensure compliance with laws, rules and regulations.


Other Functions:

·Acts as a subject matter expert (SME) while providing leadership, guidance, and mentorship to other team members.

·Other duties as assigned.


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

Qualifications

Qualifications:


·Education -

oBachelor's Degree: Business, Finance or equivalent field.

oor equivalent work experience

oMaster's Degree: Business, Finance or equivalent field.

·Experience -

o5-9 years Compliance, Legal, Regulatory, or Financial Services.

·Skills & Abilities -

oPractical knowledge of corporate regulatory requirements, and factors influencing the business in which the Corporation operates.

oPractical knowledge of key business control areas (Audit & Risk Review, Risk Management, Finance, Human Resources, and Legal) and governmental regulatory agencies.

oAbility to resolve complex situations with internal clients and regulators, while maintaining a professional presence.

oAbility to quickly respond to inquiries from regulatory agencies, internal partners, and external consultants.

oAbility to read, analyze and interpret government regulations, trade journals and legal documents

oAbility to effectively deal with senior management as well as, Federal/State and other Regulators

oAbility to work cross-functionally as a team player.

oAbility to mentor and guide staff and numerous projects simultaneously.

oAbility to influence others, including senior leadership.

oExcellent verbal and written communication skills.

oAdvanced Microsoft Office (Excel, Word, PowerPoint, Outlook, Sharepoint) skills.

oStrong project management skills.


Job

:Compliance

Primary Location

:New York-New York-200 Liberty Street - 06488 - Liberty Street

Other Locations

:Massachusetts-BOSTON-75 State Street - 06366 - State Street-Corp

Organization

:CRO (8855)

Schedule

:Full-time

Job Posting

:Oct 15, 2020, 6:21:03 PM

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