Compliance•Full Time•3-5 years•Community of madrid•
Required Skills
6 skills
AML regulations
KYC processes
Data protection
Prevention of criminal risks
ESG
MiFID II
Job Description
<ul><li>Regulatory Compliance: planning and implementation of new policies and procedures, as well as periodic review of existing ones (internal rules of conduct, training, conflicts of interest, suspicious transactions, contingency plan, etc.).</li><li>Lead and coordinate communication and reporting to regulators.</li><li>Preparation of quarterly and annual Regulatory Compliance reports.</li><li>Risk Management: preparation of quarterly and annual Risk Management reports.</li><li>Internal Audit: preparation of the annual Internal Audit report.</li><li>AML: KYC reviews, onboarding of investors, clients, providers and other counterparties.</li><li>Preparation and periodic update of the KYC packages of the Fund vehicles.</li><li>Coordination and supervision of external audits on AML.</li><li>Data Protection: periodic review of the policies and adaptation to the new regulations.</li><li>Coordination and supervision of external audits on DP.</li><li>Prevention of criminal risks</li><li>Customer Due Diligence (CDD) - Establishing and maintaining procedures for investor onboarding and ongoing monitoring, including Know Your Customer (KYC) processes.</li></ul>
Regulatory Compliance: planning and implementation of new policies and procedures, as well as periodic review of existing ones (internal rules of conduct, training, conflicts of interest, suspicious transactions, contingency plan, etc.).
Lead and coordinate communication and reporting to regulators.
Preparation of quarterly and annual Regulatory Compliance reports.
Risk Management: preparation of quarterly and annual Risk Management reports.
Internal Audit: preparation of the annual Internal Audit report.
AML: KYC reviews, onboarding of investors, clients, providers and other counterparties.
Preparation and periodic update of the KYC packages of the Fund vehicles.
Coordination and supervision of external audits on AML.
Data Protection: periodic review of the policies and adaptation to the new regulations.
Coordination and supervision of external audits on DP.
Prevention of criminal risks
Customer Due Diligence (CDD) - Establishing and maintaining procedures for investor onboarding and ongoing monitoring, including Know Your Customer (KYC) processes.