Senior Compliance Manager
hace 4 días
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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