Manager, Compliance
Job description
Role Summary:
The role is to act as Compliance Officer, at Manager level, for our Sanne Spain (Madrid) office. The role holder will work closely with the Compliance Senior Administrator and the Head of Compliance in Luxembourg.
Key Responsibilities:
Compliance:
- Ensuring an effective Compliance Monitoring Program is maintained;
- Assisting with the creation, implementation and roll-out of applicable Compliance and Financial Crime Risk policies and procedures, including a Compliance Manual'
- Be client-focused and assist where possible to support and enhance client relations;
- Assist with preparing reports to Senior Management and the Board as required;
- Promoting a culture of Compliance across the business;
- Providing an escalation point for disclosures, breaches and unusual activity;
- Monitoring compliance with legislation and local requirements;
- Ensuring there are adequate processes in place for monitoring and testing the effectiveness of systems and controls;
- Providing input on the annual AML/CTF Risk Assessment of the business;
- Completing appropriate training and helping to design staff training and awareness;
- Undertaking a gap analysis, when necessary, of new or revised internal policies, rules or requirements;
- Receiving and investigating internal reports of unusual activity or suspected money laundering or terrorist financing;
- Providing an independent, check and verification on AML KYC files and records;
- Key point of contact (SEPBLAC, Banco de España and external expert) for local regulators and authorities and for filling regulatory returns.
Other Responsibilities:
- Assisting with other duties to support the Group Compliance function as may be necessary from time to time;
- Positive engagement with Risk, Legal, IT, Internal Audit and business departments to ensure Group and Local issues are being effectively dealt with and progressed through to completion;
- Attending Business Risk Committees as a mandatory attendee and to participate and vote at same;
- Responsible for preparing the periodic meetings of the Internal Control Body (? OCI? ) and documenting its decisions.
Values and Behaviours:
- Vision and Initiative;
- Strategic Thinking and Innovation;
- Transformational Change;
- Influencing and Engaging Others;
- High Quality Client Focus;
- Risk aware decision-making;
Requirements
Skills and Experience:
Candidates will have finance sector experience and good understanding of, and experience with, performing Compliance/AML/CTF roles within a financial services business and will have:
- Enough experience and skills which may include, holding an appropriate AML, Compliance or other professional qualification
- A sound knowledge of all relevant Financial Crime Risk (AML) laws as applicable in Spain and/or the EU
- Awareness of Compliance staff obligations and those of the relevant persons under the applicable, local standards; and
- Highly developed communication skills with the ability to engage and build relationships at all levels, both internally and externally