Compliance Officer – Spanish Speaker
- Up to £55,000 pa
- London, England, United Kingdom
- Permanent, Full time
- Saxton Leigh
- 19 Feb 18 2018-02-19
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.
Our client is a well-known stockbroker, based in the heart of the City, with exciting growth plans.
- 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.
- 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