Operations Officer
About the Role
You will support front, middle, and back-office processes for a newly authorized TSS in Spain. You will handle reception and transmission of client orders, execute orders on behalf of clients, manage multilateral trading systems, custody and administer financial instruments, maintain internal records, and ensure compliance with CNMV requirements and Royal Decree-Law 21/2017. You will prepare execution information for clients, validate onboarding documentation, apply operational controls (customer categorization, suitability, conflicts management, best execution), and manage telephonic and electronic client communications and recordings.
Requirements
- University degree in a legal economic or financial discipline
- 3+ years of experience in a regulated financial institution in roles involving regulatory compliance custody depositary functions or operations related to financial instruments
- Strong understanding of European financial regulations and operational requirements under CNMV or other EU national competent authorities
- Exceptional attention to detail and ability to manage complex procedural workflows
- Ability to thrive in a fast paced cross functional environment
- Experience within investment services or digital asset ecosystems is a plus
Responsibilities
- Support front middle and back office processes
- Manage reception and transmission of client orders
- Execute orders on behalf of clients
- Manage multilateral trading systems
- Custody and administer financial instruments
- Maintain adequate and orderly internal records
- Ensure pre-trade and post-trade transparency compliance
- Maintain procedures for order communications to the CNMV
- Ensure compliance with reference data obligations for financial instruments
- Verify systems and procedures comply with Royal Decree-Law 21/2017
- Inform and validate SMN/SOC participants on settlement responsibilities
- Comply promptly with CNMV instructions including exclusions or suspensions
- Maintain five year records for orders and transactions
- Prevent execution of client orders using firm capital or matched principal trading unless authorized
- Prepare and deliver execution information to clients in durable compliant formats
- Validate customer onboarding data and account opening documentation
- Apply and maintain operational controls for customer categorization suitability and conflict-of-interest management
- Manage telephonic and electronic communication procedures and ensure recordings are available on request
Benefits
- Unlimited Paid Time Off (PTO)
- Equity grant opportunities
- Remote work flexibility
- Employer paid comprehensive Medical Dental and Vision insurance for US employees
- 401(k) retirement plan for US employees