Compliance Officer – Spanish Speaker

  • Up to £55,000 pa
  • London, England, United Kingdom
  • Permanent, Full time
  • Saxton Leigh
  • 22 Feb 18 2018-02-22

Our client, a successful stockbroker based in the heart of the City, are seeking a Compliance Officer to join their team. This person must be fluent in Spanish.

THE COMPANY:

Our client is a well-known stockbroker, based in the heart of the City, with exciting growth plans.
 

THE RESPONSIBILITIES:

  • Ensure the Spanish office maintains operational compliance with Group procedures and MiFID and local regulatory rules in meeting financial services, anti-money laundering and other regulatory requirements.  
  • Establish, manage and develop the compliance function of the Spanish branch.
  • Act as the primary contact and represent the company at both regulatory and industry group forums, supporting the Head of the Spanish branch where required.
  • Ensure the smooth operation of the day to day Spanish compliance operation through the development of systems and controls and ad hoc support to senior management.
  • Compliance monitoring oversight and responsibility, including but not limited to: market abuse, AML, financial promotions, PA dealing, sales calls and the approval of financial promotions.
  • Act as the main representative for AML purposes with the Bank of Spain.
  • Manage the annual external AML audit process. 
  • Provide compliance oversight to other departments in handling of complaints. 
  • Provide advice on relevant regulatory matters.
  • Provide appropriate assistance in respect of external regulatory investigations.
  • Maintain awareness of, to report on and to assist in the management of compliance risk.
  • Act as data processing/protection officer where required and provided advice on local data protection requirements, as required.
  • Provide a smooth flow of relevant ad hoc and formal information to the Head of Compliance (UK and EMEA), for example, in support of the HCE’s role, as approved person for anti-money laundering and compliance oversight in the UK, and, as a conduit of information to the Board Risk committee and to Group Directors. 
  • Develop systems and procedures to ensure and maintain compliance with relevant regulatory requirements, under the direction of the Head of Compliance (UK and EMEA).
  • Provide assistance in any other specific or general way to the work of the UK and European compliance team.

 

EXPERIENCE REQUIRED:

  • Fluency in Spanish
  • Financial services experience in a control/compliance or regulatory role
  • Direct exposure to and dealing with the CNMV, Bank of Spain and other relevant regulators
  • Management of key stakeholder relationships – i.e. dealing with auditors
  • Experience within a retail financial services environment is desirable
  • Knowledge of retail derivative products such as CFDs, FX, Futures, Options is desirable
  • Working knowledge of MiFID and specific Spanish Conduct of Business rules is desirable
  • Relevant financial services qualification desirable

 

For further information please contact Hannah Tabatabai