¿Tienes dudas sobre ninety nine? Habla con nuestro fundador el 20 de noviembre a las 20:00 CET.Inscríbete aquí

Job

Compliance Manager - Online broker

Madrid, Spain. Legal. Salary Range: Based on experience

Our mission and values

We’re on a mission to make financial markets accessible to the 99% of the population.

We believe that our financial system is broken.

And that people can transform an improbable idea into a reality.

We believe in transparency.

And that trustworthy companies need society's support to make the world a better place.

We believe in smart disruption.

And that zero-commision investing will help you accomplish ambitions that were seemingly impossible.

These values have helped us to imagine a new way to invest in the stock market. And they inspire us in all the decisions we make. Will you help us?

About the position:

We are looking for a passionate Compliance Manager. Someone who shares our desire to substitute the old-fashioned banking establishment and fight to make financial markets accessible to the ninety nine percentage of the population.

As a member of our legal team you will implement and execute all supervisory procedures to comply with all European financial markets regulations.

Working from our headquarters, you will play a key role in the inception of an international broker dealer fintech.

What you’ll do:

  • Implementation and Execution of back office related Written Supervisory Procedures to comply with all MiFID II and ESMA rules.
  • Internal testing of compliance in back office functional areas such as new accounts, automated customer account transfer service, cashiering, securities processing, settlements.
  • Review and process regulator customer complaint inquiries.
  • Review Internal Communications and Communications with the Public.
  • Review and compliance approve Sales and Marketing material.
  • Manage and resolve escalated issues.

Qualifications:

  • Master in financial markets law or equivalent work experience.
  • 10+ years working in back office broker-dealer compliance and controls.
  • Strong understanding of brokerage back office operation and compliance functions.
  • Management experience over compliance back office brokerage operations, and controls.
  • Creative problem solver - able to identify real obstacles and viable solutions.
  • Good communication and analytical skills.
  • Prior experience on a tier one Financial Institution or Broker Dealer Firm - a plus.

Benefits

  • Option to work remotely
  • Flexible schedule
  • Competitive salary based on experience
  • Sponsored continuous learning
  • Sponsored assistance to event and conferences
  • Annual international team meet up
  • Private health insurance
  • Family support
  • Merch, snacks and good vibes
  • Day off for your Birthday
Cookie

Esta página usa cookies.Esta página usa cookies para ofrecerte una mejor experiencia de usuario. Si sigues navegando consideramos que aceptas nuestro uso de cookies. Descubre más.