4202 Audit Firm jobs in New York,NY

VP - Employee Compliance, Central Compliance Team CIB

Santander Holdings USA

New York, NY 10022

Bachelor's Degree: in related field or equivalent demonstrated through a combination of work experience, training, military service, or education - Required
5+ Years Compliance, Legal, Regulatory, or Financial Services. - Required.
Education: Master's Degree: in related field or equivalent demonstrated through a combination of work experience, training, military service, or education - Preferred
Regulatory knowledge including FINRA, SEC, and broker-dealer regulatory requirements
Experience with employee compliance platforms such as StarCompliance, MCO (MyComplianceOffice), Schwab Compliance Technologies, or similar systems. - Preferred.
FINRA registrations (Series 7, 79, or similar) preferred or willingness to obtain. - Preferred.
Applicants must be legally authorized to work in the United States on a full-time basis without requiring employer sponsorship to commence employment.
Work Authorization & Sponsorship: Applicants must be legally authorized to work in the United States on a full-time basis without requiring employer sponsorship to commence employment.