Trabajo | Compliance executive for a Global Wealth and Asset Manager | Barcelona

Barcelona Otros Puesto fijo
Número de referencia: IT/LAW/445/21

Compliance executive for a global Wealth and Asset Manager headquartered in London. Fluent in Spanish & English


Our client is a global Wealth and Asset Manager headquartered in London. They create bespoke investment solutions designed to preserve and enhance their client's wealth. In an industry that can be impersonal, they have clients who have been with them for over three decades because they offer something different. The Group’s dedicated senior teams take care of clients’ wealth, providing peace of mind and the time to concentrate on the things that matter to them.

The group opened its doors in October 1986, just five weeks after the deregulation of the London financial markets – known as "Big Bang". This change separated the relationship between adviser and market maker, creating competition among advisers. In the following months, they pioneered a new type of investment service, which was not focused on selling investment products but negotiating the dual responsibilities of managing our clients’ affairs, as well as financial markets.

In the thirty years since then, they have kept and nurtured this pioneering and entrepreneurial spirit, working in partnership with their clients, many of whom have been with them since their inception in 1986. Their clients entrust them to manage more than $3.8 billion of discretionary assets on their behalf and they are growing all the time.

They are currently looking for an Executive Compliance profile to join the Group, being based in Barcelona.

Descripción del puesto

As an important part of the wider Compliance team, the Compliance Executive will be based in the Group’s office in Barcelona. Candidate will join the Risk & Compliance team and report directly to the Chief Compliance Officer, based in London.

The Compliance team works with the front and middle office to advise on regulatory change, new requirements, or updates to “best practice”. In addition, the team monitor existing practices across the organisation. 

The Compliance Executive will have daily contact across the company and needs to have a patient, consultative and constructive approach to advice/queries. In addition, candidates will also need to have the highest ethical standards and be prepared to stand by their views. A strong ability to articulate the requirements/issues highlighted will allow the team to continue to build a strong compliance framework.

Key responsibilities:

  • Be the subject matter expert on Spanish Comision Nacional del Mercado de Valores (CNMV), providing training for the compliance team and all Spanish employees.
  • Be the regulatory point of contact for CNMV and Sepblac.
  • Assist the Chief Compliance Officer in risk management across the whole Group.
  • Assist in the maintenance and development of the compliance policies.
  • Ensure compliance under the Market Abuse Regulations with the aim of identifying behaviour that can amount to market abuse
  • Conduct research and provide regulatory news updates during Compliance team meetings.
  • Undertake daily responsibilities within the Compliance team, including advisory, reporting and disclosure to ensure L&C meet regulatory standards expected by our clients and required by the local regulators.
  • Ensure that the Chief Compliance officer is made aware of any material issues, in a timely manner.
  • Assist other members of the Compliance Team and undertake ad-hoc compliance related projects/reviews as required.


We are looking for a Compliance Executive with strong understanding of Wealth and Asset Management gained through, at least, 5 years of experience in a similar role, ready to make that next step. Candidates must be fluent in Spanish & English. Strong excel skills are needed. Moreover, they need to have a good knowledge of the Spanish CNMV and European regulatory frameworks and knowledge of the FCA handbook. SEC compliance and regulatory experience will be advantageous as well as industry or professional compliance qualification (e.g. CESCOM), Business Administration/MBA, or a degree in Economics and Finance will also be an advantage.

Candidates will contribute to a strong culture of effective risk management for both clients and the Group, and they must understand, take ownership, and ensure compliance with all internal procedures, policies, regulation and standards. Thus, they will show excellence in record keeping and a focus on ensuring security and integrity of confidential data at all times.

Candidates need to be energetic, commercially astute, articulate, technically strong, dynamic, insightful and influential leader with the ability to operate at both strategic and operational levels. We look for highly motivated profiles, with an enquiring mind and passion for excellence and innovation in pursuit of business growth and success. They must have business acumen, commitment to legality, exceptional communication skills at all levels and the ability to handle high levels of pressure and critical decision-making. High integrity and openness combined with commitment to good governance will be key. Candidates must also be committed to ongoing personal development - seek to expand knowledge through interaction with colleagues/attendance at seminars/networking events/ongoing membership of professional bodies. Candidates will support management and business decisions and translate them into action.

As an employee of the Group, candidates are expected to act with integrity, with due skill, care and diligence; being open and co-operative with the regulators; pay due regard to the interests of customers and treat them fairly; and observe proper standards of market conduct.


Our client offers you the opportunity to join a reputed global Wealth and Asset Manager in a position of responsibility and impact. You will have continuous dialogue with the business and with the management staff of the company, as well as with other people abroad. He will participate and lead matters of relevance and complexity in the Compliance field. You will benefit from a dynamic and open work environment. You will receive an interesting remuneration package according to your profile. You will be able to progress professionally.