Senior Legal Counsel - Retail & Private Banking
Top focus
Senior Legal Counsel - Retail & Private Banking Country: United States of America It Starts Here: Santander is a global leader and innovator in the financial services industry and is evolving from a high-impact brand into a technology-driven organization.
Our people are at the heart of this journey and together, we are driving a customer-centric transformation that values bold thinking, innovation, and the courage to challenge what’s possible. This is more than a strategic shift. It’s a chance for driven professionals to grow, learn, and make a real difference.
If you are interested in exploring the possibilities We Want to Talk to You! The Difference You Make: As Senior Legal Counsel for Retail and Private Banking, you serve as a trusted legal advisor to a dynamic and growing broker-dealer and registered investment advisor business.
In this role, you provide strategic legal guidance that supports the delivery of investment products and services while helping the organization navigate complex regulatory requirements, manage legal risk, strengthen governance practices, and drive business objectives with confidence.
Position Summary Provide legal counsel on investment products and services, including regulatory and contractual requirements, suitability standards, fiduciary obligations, disclosure requirements, legal risk mitigation, and product due diligence activities.
Serve as the legal subject matter expert for broker-dealer and registered investment advisor matters, advising business leaders and stakeholders on legal, regulatory, and compliance considerations affecting strategies, programs, products, and operational practices.
Advise on corporate governance matters, including governance processes, policies, board and committee practices, and the preparation of corporate resolutions, governance documentation, agendas, charters, and meeting minutes. Analyze legislative, regulatory, legal, and policy developments impacting the business and provide practical guidance, insights, and solutions to internal stakeholders.
Conduct legal research on complex legal, regulatory, and industry-specific matters to support business initiatives and risk management decisions. Monitor emerging legal and regulatory developments within areas of expertise and prepare complex legal analyses, recommendations, and business-focused guidance.
Partner with business, compliance, and leadership teams to identify, assess, and mitigate legal and regulatory risks associated with investments
What You Bring
- To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.
- The requirements listed below are representative of the knowledge, skill, and/or ability required.
- Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
- Education: Juris Doctor (J.D.) degree from an accredited institution – Required.
- Professional Experience: 9+ Years Experience practicing law in financial services, bank, or law firm - Required.
- Expertise handling FINRA and SEC regulatory matters - Required
Skills
- Extensive knowledge of broker-dealer and registered investment advisor regulatory frameworks.
- Strong legal research, analysis, drafting, negotiation, and counseling capabilities.
- Expertise in corporate governance principles, processes, and documentation.
- Proficiency with Microsoft Office applications, including Excel, PowerPoint, and Outlook.
- Ability to identify complex legal and business issues, evaluate risks, and develop practical solutions.
- Strong strategic thinking with the ability to develop legal approaches for complex and high-profile matters.
- Excellent verbal, written, presentation, and stakeholder communication skills.
- Ability to build and maintain effective relationships with senior executives, business leaders, and external partners.
- Demonstrated ability to manage multiple time-sensitive priorities while meeting deadlines in a fast-paced environment.
- Strong coaching, collaboration, and team-oriented leadership capabilities.
- Demonstrated ability to handle highly confidential and sensitive information with discretion.
- Strong sense of urgency, sound judgment, and organizational effectiveness.
- Certifications: Active license to practice law in one of the following states: FL, NY or MA - Required.
- It Would Be Nice For You To Have: Established work history or equivalent demonstrated through a combination of work experience, training, military service, or education.
- 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.
- 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: $127,500.00 USD Maximum: $220,000.00 USD We Value Your Impact: Your contribution matters and it’s recognized.
- You can expect a fair and competitive rewards package that reflects the impact you create and the value you deliver.
- We know rewards go beyond numbers.
- Offering more than just a paycheck our benefits are designed to support you, your family and your well-being, now and into the future.
- Santander Benefits - 2026 Santander OnGoing/NH eGuide (foleon.com) Risk Culture: We embrace a strong risk culture and all of our professionals at all levels are expected 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 characteristic protected by law.
- Working Conditions: Frequent minimal physical effort such as sitting, standing and walking is required for this role.
- Depending on location, occasional moving and lifting light equipment and/or furniture may be required.
- 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.
- What To Do Next : If this sounds like a role you are interested in, then please apply.
- We are committed to providing an inclusive and accessible application process for all candidates.
- If you require any assistance or accommodation due to a disability or any other reason, please contact us at TAOps@santander.us to discuss your needs.