The objective of the compliance team is to deliver, coordinate and continuously develop an effective compliance management framework that provides the tools to enable FNZ to identify, assess, control and monitor conduct and regulatory risk. Through that framework, we manage compliance & regulatory risk within the appetite of the business, our clients, and regulators.
The Compliance Business Partner - Iberia works in the second line of defence and brings both experience and knowledge of regulatory requirements in respect of MiFID, Banking Regulations, EMIR, SFDR, AML, and GDPR, as well as specific jurisdictional expertise for the Iberia region. Their practical experience and achievements in similar roles will demonstrate their ability to provide oversight of the regulatory risk environment in the Iberia region and their ability to challenge the business across the core elements of the compliance management framework.
While FNZ is a technology business, the role requires wider FS industry and Iberia regional experience, ideally within a fast-paced regulated environment with exposure to multiple regulations.
Duties and Responsibilities:Partner with the Iberia business including Head of Iberia and Sales team to provide a commercial, focused approach to Compliance - supporting controlled, compliant growth.Partner with the wider FNZ (Europe) DAC Compliance team in implementing any regulatory change initiatives or projects that affect business lines.Assist with wider FNZ compliance initiatives and training requirements.Support the development and execution of the FNZ (Europe) DAC - Compliance Monitoring programme in Europe.Investigate ad hoc issues assigned by the FNZ (Europe) DAC Chief Compliance Officer or raised by the business or global team.Maintain current knowledge of relevant global and local government regulatory and corporate governance standards.Execute directives from the FNZ (Europe) DAC Chief Compliance Officer.Play a critical role in the successful execution of the Company's compliance mission.Regulatory Developments (Iberia Region):Liaise with FNZ (Europe) DAC Chief Compliance Officer / Regulatory Developments Manager - EEA to track European level regulatory developments that may impact the Iberia region / client.Monitor the Comisión Nacional del Mercado de Valores (CNMV)/ Portuguese Securities Market Commission (CMVM) websites, ESMA, EBA and other relevant regulatory and tax websites across the Iberia region in which FNZ Group / our clients operate.Engage external Regulatory Consultants to identify regulatory changes in the Iberia region.Review and define whether a regulatory change has an impact on FNZ platforms / services.Provide regulatory expertise to FNZ Project teams as they prepare an impact assessment.Internal review and sign-off of the Impact assessment documented by FNZ Project teams and FNZ Investment Operations team.
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