Compliance Manager Spain and Italy

hace 3 semanas

Madrid, España CMC Markets A tiempo completo

Role & Responsibilities
- Management of the Compliance function for Spain and Italy, ensuring there is a robust and proportionate systems and controls framework in place to manage regulatory risk, including in relation to the prevention of financial crime
- The Compliance Manager - Spain & Italy, will act as Deputy MLRO for the Spain Branch before Sepblac.
- Keep abreast of regulatory developments in Spain and Italy. Assess applicability, propose and project manage solutions through to implementation in a timely manner
- Ensure the continued development of documentation, including policies, procedures and frameworks in line with the changing regulatory environment
- The Compliance Manager - Spain & Italy will manage project work dependent on thematic regulatory topics, business projects or BAU
- Cultivate a strong relationship with regulators and auditors, managing interaction and dialogue
- Respond to regulatory queries/requests and consultation papers as they apply
- Maintain strong working relationships with key departments across the Group
- Work with the business units to develop a good understanding of their strategy, services and products
- Manage regulatory audits and address regulatory findings
- The Compliance Manager - Spain & Italy will execute and continue to enhance the monitoring programme, identifying findings and developing solutions to resolve them
- Maintain adequate oversight and ensure regulatory reporting obligations are fulfilled
- Provide advice/guidance to the business on key areas of Compliance and Financial Crime
- Assist the department in maintaining adequate records
- Take all reasonable steps to ensure appropriate confidentiality
- Liaise when necessary with external parties including industry bodies
- Escalate any findings, concerns, issues and manage through to resolution
- The Compliance Manager - Spain & Italy will design and deliver any required bespoke compliance training to staff, focusing on key aspects of the business and current regulatory issues
- Provide a strong lead in the proactive support of the risk process within the region to identify, assess, treat, report; monitor risks promoting a strong risk culture
- Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training
- Provide sufficient management information in order to allow the board and management visibility of Compliance and Financial Crime
- Act as the contact person for all Financial Crime queries and issues

Key Skills & Experience:

- The Compliance Manager - Spain & Italy, will have deep knowledge of EU regulatory environments, associated laws and industry standards, including investment & capital markets compliance regulations, market abuse, conflicts of interest, conduct rules and anti-money laundering.
- Proven success in designing and implementing effective Compliance Programs in the financial services industry
- Proven success in developing strategy and turning it into tangible action plans.
- The Compliance Manager - Spain & Italy will have experience of leading a team, including remote team members, managing and rewarding performance and developing talent.
- Excellent verbal and written communication skills (Spanish, Italian and English) with individuals and groups at all levels of an organization, in all settings.
- Experience presenting to and advising senior leadership; capable of producing leadership-level presentations and reports
- Good communication skills with the ability to motivate others
- Problem-solving and decision-making skills, with the ability to analyse complex information to identify the key issue/action and drive resolution

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