COMPLIANCE OFFICER SEMI SENIOR

Tradition is the interdealer broking arm of Compagnie Financière Tradition and one of the world's largest interdealer brokers in over-the-counter financial and commodity related products. CFT is represented in over 28 countries, employing over 2,500 people and is listed on the Swiss stock exchange.We are looking for a Compliance Officer Semi Senior to join our team in Madrid.Purpose of Role & Main ResponsibilitiesYou will deliver a comprehensive Compliance service to the business, as well as provide support and timely administration as required to the Compliance Department and assist with the continual development of the Compliance function within the Madrid office, including but not exhaustive:Interpretation of CNMV, ESMA, NFA and other regulators’ and exchange rulesInvolvement in the assessment of compliance risk and maintenance of compliance risk registersCompliance monitoringConduct the controls defined in the yearly compliance controls planQuality assurance reviews of monitoring and surveillance activitiesOversight of Organised Trading Facilities (OTFs) and trading systemsOversight of matched principal activitiesAssist in the review and management of risk incident capture (via OneSumX)Assist in the review of arrangements for assessment and management of conflicts of interestAssist in the review of arrangements for assessment and management of outsourced servicesDraft and updating of Compliance policies and proceduresLiaison with other departments as requiredProject management as requiredPreparation and submission of regulatory or exchange applicationsAssist in Compliance investigationsSupporting AML/KYC team on queries from clientsOversight and review of transaction and trade reporting processesAnalysis of trading information and dataGeneral Compliance Administration dutiesStandard Responsibilities/Core Competencies for Experienced Supervisor/Manager Support RolesResponsible for managing their business and the employees that work within that business, consciously creating a workplace culture that is consistent throughout the Tradition Group and promoting the Tradition Mission and Values StatementResponsible for cultivating and maintaining communication, trust, respect, fairness, professionalism and challenge in their teams through various mediums such as team meetings, one to one meetings etcResponsible for building our business through integrity and strength and ensuring our teams provide expert support with their products and servicesLead employees using a performance management and development process that provides an overall context and framework to encourage employee contribution and includes goal setting, feedback and performance development planningResponsible for always considering the measures that are necessary to ensure supervision including the provision of effective and robust processes and controls that contribute to their oversightResponsible for cultivating efficient working relationships across all functions, clients and external agenciesResponsible for ensuring that new and existing employees fully understand and adhere to company policies and proceduresResponsible for knowing, understanding and actively managing the Risks and Controls that are applicable to their businessAbility to work on own initiative with minimal guidanceEvidence of the ability to practice a high level of confidentialityExcellent organizational management skillsExceptional interpersonal relationship building, employee coaching and development skillsBehave in an appropriate and professional manner applicable to their level of responsibilityEnsure compliancy for department with local legislation (business, regulatory, government and employment)Manage the overall operational, budgetary, and financial responsibilities and activities of the department.Plan and allocate resources to effectively staff and accomplish the work to meet departmental productivity and quality goalsReview performance data that includes financial, sales, and activity reports and spreadsheets to effectively monitor and measure departmental productivity, goal achievement, and overall performance Prepare periodic reports for management, as necessary or requested, to track strategic goal accomplishmentPlan, evaluate, and improve the efficiency of business processes and procedures to enhance speed, quality, efficiency, and outputMake business decisions that are financially responsible, accountable, justifiable and defensible in accordance with Company policies and proceduresKnowledge & Experience5 years’ experience in a similar role, 3 of them in a CNMV regulated entityDetailed understanding of the CNMV, NFA and exchange rulesUnderstanding of European Directives and other regulatory rulesKnowledge and experience of Spanish, UK, EU, US and other regulatory systems and regimesKnowledge and understanding of AML regulation and connected regulatory reporting linked to this topic.Knowledge and understanding of KYC process including onboarding rules defined in the regulation and at internal levelKnowledge and understanding of risk assessments and processesKnowledge and understanding of the operation of MTFs and OTFs and other trading systemsKnowledge and experience of compliance monitoring and surveillanceKnowledge and understanding of the assessment and management of conflicts of interestsKnowledge and understanding of the assessment and management of outsourced arrangementsDetailed knowledge of the firms’ products including cash equities and securities, equity and commodity derivatives and money marketsGood knowledge of cash and derivatives exchange rules e.g. Euronext, Eurex, LSEExperience of dealing with formal documentation and drafting policies and proceduresAbility to read and understand regulatory rules, consultation papers and legal documentsDetailed experience of international wholesale marketsDetailed knowledge of the Spanish anti money laundering rules and regulations Very good PC skills and knowledge, in particular Excel and WordGood literacy and numeracy skillsGood communications skills both verbal and writtenAbility to communicate with all business areas and senior managementGood time management skills Good organisation skillsGood inter-personal skills Good team skillsGood sense of humourWillingness to learn new skills and take on challengesAbility to work in a team or autonomously on specific projectsProblem solvingDesired Qualities for Supervisor/Manager Support RolesAble to convey ideas and advice clearly, concisely, with conviction and in a persuasive manner often in the face of opposition or hostility when advice is challengedAbility to identify areas for improvement and to implement changesDemonstrated experience in implementing compliance controls Demonstrated ability to review KYC and AML processesProven track record in carrying out the role & responsibilitiesCore Competencies for all Support EmployeesStrong work ethicHard-workingHigh level of integrity and discretionLoyal, trustworthy & reliableSelf-motivated, able to work as part of a team, as well as on own initiative with minimal guidance and support team mates Proactive, willing to learn and adapt, with a can-do approach and determined attitudePersonable with a friendly, confident and approachable manner, whilst maintaining a high degree of professionalism/confidentiality Able to work in a busy and demanding environmentAbility to prioritise a heavy workload in order to meet deadlines and problem-solveAbility to liaise with a wide range of people on a variety of levelsHigh degree of accuracy and attention to detailExcellent written and oral communication skillsExcellent time-keeping & attendance