Sr. Associate, Financial Advisor

Sr. Associate, Financial Advisor Overview We are looking for an experienced, client‑facing Financial Advisor to deliver investment advice, grow client relationships, and generate investment revenue across both brokerage and Managed Account / advisory platforms. Key Responsibilities Client Investment Advice – Serve as a senior investment advisor, conduct comprehensive client discovery, recommend appropriate strategies, deliver portfolio reviews, and help clients understand advisory vs. brokerage relationships. Sales, Revenue, and Business Development – Grow investment assets, AUM, and revenue; develop and manage a disciplined pipeline; partner with Private Bankers and Relationship Managers; meet or exceed assigned goals. Managed Accounts and Advisory Solutions – Advise on UMA, SMA, model portfolios, mutual fund advisory programs, ETF portfolios, and third‑party manager strategies; transition clients into Managed Accounts where appropriate. Brokerage Solutions – Advise on equities, fixed income, structured products, alternatives, CDs, mutual funds, ETFs; support income generation, liquidity management, and portfolio construction. Portfolio Construction and Investment Strategy – Develop recommendations, review portfolios for concentration risk, allocation gaps, and diversification opportunities; translate market views into actionable client recommendations. Risk, Compliance, and Documentation – Maintain strong documentation, operate in accordance with firm policies and regulatory standards, and maintain awareness of eligibility, limits, and disclosure obligations. Internal Partnership – Partner with internal teams for guidance on client opportunities, support business initiatives, and mentor less experienced team members. Required Qualifications Bachelor’s degree in Finance, Economics, Business, Accounting, or related field (preferred). 10+ years of client‑facing investment advisory, financial advising, wealth advising, private banking, brokerage, or investment sales experience. Track record of advising clients, growing investment relationships, generating revenue, and managing sales opportunities. Strong experience with Managed Accounts/advisory solutions and brokerage products. Deep understanding of asset allocation, portfolio construction, and product suitability. Knowledge of RegBI, suitability, fiduciary obligations, and documentation standards. Excellent client‑facing communication, presentation, sales, negotiation, and relationship management skills. Ability to operate independently with senior clients and complex portfolios. Preferred Qualifications 12+ years in wealth management, private banking, brokerage, RIA, or broker‑dealer environments. Experience with high‑net‑worth or international private bank clients. Experience with dual advisory and brokerage platforms and growing AUM and brokerage revenue. Strong familiarity with fixed income, structured products, alternatives, and sophisticated investment solutions. Experience transitioning clients from brokerage to advisory when in the client’s best interest. CFP, CFA, CIMA, CAIA, or other investment designation (preferred). Bilingual capabilities (a plus). Licenses and Certifications FINRA Series7 required. FINRA Series66, or Series65 and Series63, required. SIE required if not already licensed. Life, Health, and Variable Annuity license preferred where applicable. CFP, CFA, CIMA, CAIA, or similar designation is a plus. Candidates who do not currently hold all required licenses may be required to obtain them within a defined period after hire. Key Skills Senior client investment advice, financial advisor sales execution. Managed Accounts and advisory platforms, brokerage products. Portfolio construction, asset allocation, client discovery and risk profiling. Investment proposals, portfolio reviews, revenue and AUM growth. Relationship management, RegBI, suitability, fiduciary awareness. Documentation and supervisory discipline, partnership with Private Bankers and Relationship Managers. Success Profile The successful candidate will be an experienced investment advisor with more than 10 years of client‑facing experience, a proven ability to advise, build trusted relationships, and grow investment revenue. The role requires independent operation with sophisticated clients, strong commercial execution, regulatory awareness, and documentation standards. Compensation Base Pay Range: Minimum: $123,750.00 USD Maximum: $225,000.00 USD Benefits Santander offers a comprehensive benefits package designed to support you, your family, and your well‑being. The package includes health, dental, vision, retirement, and additional programs that support work–life balance. Risk Culture We embrace a strong risk culture and expect all professionals to take a proactive and responsible approach toward risk management. EEO Statement At Santander, we value and respect differences in our workforce. 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 protected characteristic. Working Conditions Frequent minimal physical effort such as sitting, standing, and walking is required. Depending on location, occasional moving and light lifting may be required. #J-18808-Ljbffr