Corporate & Investment Banking Vice President

Corporate & Investment Banking Vice President

Job Summary of Corporate & Investment Banking Vice President:

The role is responsible for monitoring compliance activities to minimize regulatory risks and ensure adherence to legal and company standards. This position provides advisory and operational support for licensing, registration, and employee compliance, including personal account dealing, gifts and entertainment, outside business activities, and regulatory certifications.

Job Duties and Responsibilities of Corporate & Investment Banking Vice President:

• Manage compliance processes for SEC, CFTC, FINRA, and NFA-related registrations and filings, including Forms U4/U5, Form BD, Form BR, and Form 7R.
• Support employee compliance processes such as personal trading, gifts & entertainment, outside business activities, and political contributions.
• Ensure compliance with new hire onboarding requirements, employee attestations, SEC Rule 15a-6 certifications, and continuing education obligations.
• Provide guidance and respond to employee inquiries regarding licensing, registration, and compliance policies.
• Maintain compliance metrics and escalate non-compliance issues to senior management.
• Assist in updating compliance manuals and implementing process improvements.
• Conduct training for employees on compliance policies and regulatory expectations.
• Evaluate internal controls and recommend process enhancements to ensure regulatory compliance.
• Monitor regulatory changes and work with teams to ensure compliance with new requirements.

Qualifications and Experience of Corporate & Investment Banking Vice President:

• Bachelor’s Degree in Business, Finance, or a related field.
• 9+ years of experience in compliance, legal, regulatory, or financial services.
• Experience with FINRA licensing and registration processes is required.
• Knowledge of FINRA Gateway and regulatory reporting systems.
• Strong understanding of business control areas, including audit, risk management, finance, human resources, and legal compliance.
• Excellent verbal and written communication skills.
• Ability to manage multiple projects and meet tight deadlines.
• Proficiency in Microsoft Office (Excel, Word, PowerPoint, Outlook, SharePoint) is a plus.

Benefits of Corporate & Investment Banking Vice President:

• Comprehensive health, dental, and vision insurance.
• 401(k) retirement plan with company matching.
• Paid time off, including vacation, sick leave, and holidays.
• Employee wellness programs and tuition reimbursement.
• Professional development and career advancement opportunities.

Salary:

$90,000 - $165,000 per year, based on experience and qualifications.

About Company:

Santander US Capital Markets LLC is a leading financial institution providing corporate and investment banking services. With a strong global presence, the company is committed to delivering strategic financial solutions while maintaining regulatory compliance and risk management excellence. The organization fosters an inclusive work environment, prioritizing innovation, integrity, and professional growth.