Trade Compliance Manager responsible for import/export compliance in the APAC region at Brooks. Collaborating with stakeholders to ensure adherence to trade compliance regulations.
About the role
- Compliance officer promoting regulatory culture and standards across financial markets for Convera's global compliance team. Overseeing MiFID and AML compliance in Spain with a focus on regulatory adherence.
Responsibilities
- Perform Compliance oversight for Convera Europe Financial S.A. (Spanish branch), including testing and reporting to senior management, have oversight of end-to-end Derivatives process identifying any breakdown in controls and correction to processes following control or process failure and is responsible for the escalation of any breaches or breakdown of controls.
- Assist in the second line oversight of the AML function performed by staff in the sister entity, Convera Europe S.A. (Spanish branch)
- Have oversight of forwards and options derivatives activity that will be regulated under MiFID 2 and/or PSD 2 regulations. Responsible for the administering, training and oversight of the end-to-end process equally supporting the conduct risk process for the Convera Europe Financial S.A. Spanish branch and act as the liaison point for the aforementioned entity in this regard.
- Perform regular control testing and review to ensure local governance and support the global testing function with compliance internal control testing
- Ensure legal watch to anticipate new regulations and regulatory requirements.
- Assist in designing and delivering MiFID/ CSSF Compliance training.
- Assist in updating Policies & Procedures to align with CSSF requirements and will help to recommend ongoing process improvements to streamline and create efficiencies.
Requirements
- Experience in Financial Instruments requirements (MiFID), Markets Compliance issues and a good understanding of CSSF and Spanish regulations and related subject matters.
- Fluency in English and Spanish (oral and in writing);
- University degree or equivalent, and proven record of accomplishment of work experience in a large multi-regional and/or multi-national financial services or payment service business.
- Proficient knowledge of applicable risk management regulation within the banking/financial services industry, and knowledge of the latest trends, concepts and best practices. An experience managing regulatory exams is a strong plus.
- Strong written and verbal communications skills, including formal presentation skills
- Strong analytical and problem-solving skills
- Accuracy and attention to detail in daily routine
- Well-developed interpersonal skills in a team-oriented environment
- Ability to work independently in a structured and analytical way
- Ability to work in a fast-changing environment with multiple priorities
Benefits
- Market competitive monthly gross salary
- The opportunity to earn an annual bonus
- Great career growth and development opportunities in a global organization
- A flexible approach to work / hybrid working 50/50
- Generous insurance (health, disability, life) and retirement programs
- Paid holidays, time-off and leave policies for life events (maternity, paternity, etc)
- Paid time off for volunteering / charity work (5 days / year)
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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