Compliance Manager, NoviCap

• Are fluent in English, both spoken and written
• Have 5-10 years of experience in the Compliance department in a law firm, or in a financial services, technology firm, or a bank
• Have relevant experience in Anti-Money Laundering and Data Protection regulations and processes
• Have keen interest in fintech and work in an entrepreneurial team-based environment
• Strong and independent work ethic, with a passion for compliance and regulatory advice
• Proactive and analytical mindset to promote business value creation while complying with regulations
• An ability to build relationships across the organization in order to understand business processes and identify related compliance issues

Desirable

• We are currently looking for a Compliance Manager who wants to join our Compliance team
• You will report directly to our Head of Risk and Operations and work closely with other teams, mostly across Madrid and Barcelona
• You will help us in managing and leading our compliance work
• Acting as MLRO and DPO of Novicap, you will represent us in these key roles to fulfill requirements set by UK’s HMRC and Spain’s SEPBLAC, among other frameworks
• While you will be close to the Legal, Sales and Operations teams, your focus will be Compliance & Regulatory Matters
• You will be responsible for, inter alia:
• Acting as a compliance business partner to the teams identifying risk and business impact and driving solutions
• Managing and sponsoring Compliance policies, with a key emphasis on the AML/CFT Framework and the Code of Ethics
• Leading the supervision and alignment of team members, including the governance structure, processes, training and monitoring
• Regularly auditing company procedures, practices, and documents to identify possible weaknesses or risks, including in privacy matters
• Assisting in identifying, investigating, reporting and correction of compliance issues, irregularities and violations
• Assisting to the Senior Management and Board in ensuring legal and compliance obligations are followed and that we are in good standing with regulatory agencies when applicable (note: Novicap does not currently require a regulatory license from the FCA or Bank of Spain)
• Conducting research to keep up to date with the relevant regulatory environments, evaluating the business impact, and formulating recommendations
• Leading the annual external Compliance audit, conducted by a leading third-party service provider
• Managing a Compliance Specialist, acting as a mentor for her professional growth, while ensuring she is best equipped for high performance output
• In doing so, you will contribute to the achievement of Novicap’s long-term growth plans