Senior Compliance Manager

hace 1 día

Madrid, Madrid, España Self - Employed A tiempo completo

Senior Compliance Manager

Mission

Own and deliver the ECSPR authorisation for Spain (CNMV). Build a regulator-ready compliance framework and act as the single owner of the authorisation evidence pack.

You will work closely with the CFO, COO, Product, Legal, and the Board.

Key Responsibilities

ECSPR / CNMV Authorisation

Own the Spain authorisation compliance workstream end-to-end

Produce and maintain regulator-ready documentation, including:

Governance and 3 Lines of Defence

Compliance risk assessment and monitoring plan

Incident and complaints management

Outsourcing and third-party oversight

Conflicts of interest

Business continuity and operational resilience

Compliance Management System

Design and run compliance monitoring and control testing

Produce compliance MI and board reporting

Maintain an audit-ready evidence repository

Product & Investor Protection

Governance of customer communications and disclosures

Appropriateness / knowledge assessment controls

Change control for customer-facing documents and journeys

AML/CFT Oversight

Oversight of KYC, EDD, sanctions, and transaction monitoring (not MLRO)

Escalation governance, QA sampling, and evidence tracking

Periodic AML/CFT risk assessments (EU / Spain / UK)

Banking, PSP & Third Parties

Own compliance questionnaires and partner reviews

Ongoing third-party oversight and issue management

Requirements

6+ years in compliance or regulatory roles in financial services

Proven experience delivering authorisation-grade documentation

Strong understanding of EU regulatory frameworks; working knowledge of UK conduct expectations

Experience running compliance monitoring and testing programmes

Outsourcing and third-party oversight experience

Excellent drafting and stakeholder communication skills

English: fluent | Spanish: professional working proficiency

Independent, pragmatic, high-integrity operator

Nice to Have

Direct ECSPR or crowdfunding experience

Exposure to Spanish regulatory environment / CNMV

ICA, CAMS or similar certifications

Fintech client funds and reconciliation exposure

What We Offer

Remote-first role

Flexible working hours (GMT+2 to GMT+6)

Flat, low-bureaucracy organisation

High-impact role in a fast-growing company

If you want it even tighter (LinkedIn-size) or tuned for senior / executive compliance profiles, say the word.

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