Compliance & Risk Officer
About the Role
You will establish and maintain procedures to detect and correct non-compliance, evaluate the sufficiency of compliance controls, and perform ongoing compliance reviews and testing. You will monitor regulatory updates and advise senior management, prepare formal compliance and risk reports for the Board of Directors, maintain documentation, manage relationships with supervisory authorities, identify and measure significant risks, verify adherence to risk limits, recommend improvements to risk controls, notify leadership of incidents and oversee corrective measures, and ensure orderly management of the investment portfolio in urgent or risk-sensitive situations.
Requirements
- University degree in legal economic or financial sciences
- Training in regulatory compliance (MiFID II CNMV or equivalent)
- 2+ years of experience in regulatory compliance or risk within a financial institution
- Strong understanding of EU and Spanish regulatory frameworks
- Ability to manage detailed processes risk frameworks and regulatory documentation
- Strong communication skills for interaction with regulators senior management and cross-functional teams
- Familiarity with digital assets or fintech environments (advantage)
Responsibilities
- Establish procedures to detect and correct non-compliance
- Evaluate the sufficiency and effectiveness of compliance controls
- Conduct reviews and perform ongoing compliance testing against policies
- Monitor regulatory updates and advise senior management on operational impact
- Prepare and deliver formal compliance reports to the Board of Directors
- Maintain documented records supporting compliance controls and procedures
- Manage relationships with supervisory authorities and respond to inquiries
- Lead identification measurement and control of significant organizational risks
- Verify compliance with risk limits approved by the Board of Directors
- Assess efficiency and effectiveness of risk control systems and recommend improvements
- Notify leadership of incidents and oversee corrective measures
- Ensure measures for orderly portfolio management in urgent or risk-sensitive situations
- Prepare and submit periodic risk reports to the Board of Directors
Benefits
- Unlimited Paid Time Off (PTO)
- Equity Grant Opportunities
- Remote Work Flexibility
- Comprehensive employer-paid Medical Dental and Vision insurance for US employees
- 401(k) Retirement Plan