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Regulatory Compliance Specialist
beBeeComplianceMadrid, EspañaHace más de 30 días
Descripción del trabajoImplement AML / CTF procedures in line with CNMV requirements, including customer due diligence, risk assessments, and transaction monitoring. Conduct and oversee client onboarding for the Spanish OTF, including KYC, sanctions screening, and risk classification. Handle complex onboarding escalations and manage relationships with clients and counterparties. Develop and maintain compliance policies and internal procedures specific to the Spanish OTF, ensuring alignment with CNMV requirements and group standards. Lead the design and execution of the compliance monitoring programme for the OTF. Report compliance risks and performance to local management, the Group Compliance function, and regulatory authorities where required. Deliver regulatory training programmes for front office and support staff in Spain, tailored to MiFID II, market abuse, and venue obligations. Promote a strong compliance culture within the OTF and wider business lines. Collaborate closely with Group Legal, Compliance, Risk, and IT to ensure robust systems and controls. Demonstrable experience as a compliance officer or regulatory function holder in a trading venue, investment firm, or financial institution. Strong working knowledge of Spanish regulatory requirements, particularly CNMV rules, MiFID II, and EMIR. Fluency in English and Spanish (spoken and written) is essential. Eligible to hold or currently holding relevant CNMV registration or approval. In-depth understanding of trading systems, commodities markets, and the functioning of OTFs or MTFs. Skilled in drafting compliance policies, managing regulatory engagements, and advising senior stakeholders. Confident, independent, and solutions-oriented approach, with excellent organisational and communication skills.
Job Title : Regulatory Compliance Specialist
We are seeking an experienced and proactive regulatory compliance specialist to support the launch and oversight of a newly established Organised Trading Facility (OTF) in Madrid, Spain. This is a full-time position based in Spain, reporting to the Group Head of Compliance.
Key Responsibilities :
- Act as the registered compliance officer or authorised person with the CNMV for the Spanish OTF, maintaining all necessary approvals and filings.
- Serve as the primary point of contact for the CNMV and other local regulators, responding to enquiries and coordinating inspections.
- Oversee compliance with Spanish, EU (MiFID II, EMIR), and relevant international trading venue regulations.
- Advise business stakeholders on regulatory risks and compliance obligations relating to venue operations, trading conduct, and transparency.
- Support regulatory reporting obligations, including transaction and position reporting, both locally and to Group Compliance.
- Contribute to regulatory change assessments and implementation across the Spanish OTF.
Financial Crime & Onboarding :
Policy, Monitoring & Governance :
Training & Culture :
Requirements :
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Compliance Specialist • Madrid, España
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