Head of Compliance - Spanish Branch

Madrid, Madrid, Spain
Full Time

Winning Consulting is currently recruiting a Spanish Branch Compliance Officer to join a Financial Institution in Madrid.


Responsibilities include:

• Spanish branch compliance frameworks to meet local regulatory obligations.

• Co-ordinate all Spanish branch regulator queries and audits/reviews.

• Manage local Spanish branch upstreaming framework.

• Local branch adherence to policies, procedures and practices framed  compliance function, whilst assuring the compliance with specific local Spanish legislation, rules and regulations;

• Timely and accurate completion and submission of Spanish branch regulatory returns;

• Complete customer onboarding and refresh reviews, client account queries;

• Customer payment queries and transaction monitoring alerting reviews;

• Complete 2nd line branch compliance monitoring reviews;

• Assist with general compliance tasks for the legal entity


Knowledge and Experience:

› Significant experience and understanding of compliance frameworks and EU regulatory requirements.

› Experience with Spanish regulatory authorities.

› Experience managing relations with first and third lines of defence as well as Group relationships.


› Good Communication skills, both written and verbal.

› Relationship building with people at varying levels of seniority.

› Working within a multichannel environment e.g. telephone, email, face to face.

› Knowledge of the FX industry and products.

› Ability to work under pressure in a fast paced environment.

› Commercial acumen.

› Interested in regulatory obligations and environment.


› Degree

› Compliance/Regulatory qualification.

› AML/CTF/FS qualification/exams/training.


› English/Spanish fluent

Personal Attributes:

› Team Player

› Strong organisational and time management skills

› Responsible, willing to take personal responsibility for delivery against deadlines

› Excellent attention to detail

› Flexible and adaptable approach


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