Compliance Manager

hace 4 semanas

Madrid, España Monex Europe Limited A tiempo completo

.Monex Europa SL ('MESL') is a commercial foreign exchange (spot and MiFID 2 exempt forward contracts) provider and authorised by Bank of Spain as a payment services firm to passport its services across the EEA.Key Responsibilities The Compliance Manager ensures the firms operate in compliance with BoS and CNMV regulations.Work closely with the Head of Compliance to build awareness of the firm's regulatory obligations.Day-to-day provision of assistance and advice, training and awareness to front office sales and trading departments and other business areas.Maintain up to date awareness of rule requirements and regulatory guidance.Research and horizon scan for regulatory change, keeping the business advised accordingly.Liaise with external legal counsel and interpret advice.Review and maintenance of Compliance guidance, policy and procedures.Coordinate and formulate responses to internal and external regulatory enquiries, audits and queries.Handle complaints in line with regulatory requirements.Approve new products in line with new product approval process.Oversight of team's typical investigatory and surveillance work (CMP) and escalate where necessary.Managing of the Compliance monitoring program.Where recommendations are made from the compliance monitoring program to support and guide with implementation and effect coordination with other business areas where required.Developing, leading and completing significant business changes with stakeholder engagement and coordination.Influence and improve conduct and culture.Produce relevant management information for senior stakeholders in the business.Support the Head of Compliance in all areas of Financial crime and AML.To liaise with front office staff where applicable, to encourage an understanding of client risk.Review AML policies and procedures to ensure they are up to date and meet regulatory requirements and current guidelines.Ensure the firm's adherence with its financial crime and all AML regulations are adhered to.Investigate and provide advice on all positive alerts including sanctions.Advise on high-risk accounts including money service businesses and sign off.Taking a lead role in all financial crime external audits where appropriate.To liaise with operations department where applicable, to produce the regulatory reporting to BoS, CNVM, or any other supervisory body.Key Skills and Experience Required to be Successful in this Role: 6+ years of experience.Degree in Law or Economics.ACAMS Certificate or above in AML/Financial Crime (or equivalent) or a willingness to obtain this.CAMS Certificate or above in AML.Current membership of relevant professional body, desirable.CESCOM or any other compliance certification, desirable.What We Offer: Opportunities for career advancement within a rapidly growing company.Professional development opportunities to enhance your skills and knowledge

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