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Compliance Officer
Ana Casero Carrasco
,
Málaga, Spain
Experience
Other titles
Skills
I'm offering
A certified Compliance Officer by the Charted Institute for Securities & Investment in the UK with five years’ experience in the financial sector, particularly in the FX/CFDs industry.
As an experienced Compliance specialist, I have been responsible for the implementation of European laws and regulations while always maintaining a business perspective. Self-motivated with a proven background in achieving targets, meeting tight deadlines and performing well in a highly pressurized working environment.
I have developed a profound analytical and problem-solving mindset due to my continuous involvement in the operational side of the business.
As an experienced Compliance specialist, I have been responsible for the implementation of European laws and regulations while always maintaining a business perspective. Self-motivated with a proven background in achieving targets, meeting tight deadlines and performing well in a highly pressurized working environment.
I have developed a profound analytical and problem-solving mindset due to my continuous involvement in the operational side of the business.
Markets
United Kingdom
Links for more
Once you have created a company account and a job, you can access the profiles links.
Language
English
Fluently
Spanish
Fluently
Ready for
Larger project
Ongoing relation / part-time
Full time contractor
Available
My experience
2018 - 2020
job
Compliance Manager
Blackwell Global Investments (UK) Ltd.
United Kingdom
• Ensure Company compliance with FCA supervisory requirements along with International,
European and foreign legislation and regulations
• Perform regular reviews of Company's procedures in accordance with the industry practice
and within the scope of EU law
• Design and implement Financial Crime procedures and related systems
• Manage Back Office department which involves onboarding client procedure, KYC/AML
related activity and monitoring
• Oversee Company's compliance in relation to MiFID II, EMIR, GDPR & FATCA Regulations
• Oversee transaction reporting in cooperation with Risk Department
• Monitor suspicious account activity. Prepare and submit SARs
• Design and implement a Compliance Monitoring Programme
• Liaise with external advisers on corporate compliance matters
• Prepare and submit FCA reports
• Provide advice and guidance to employees on compliance matters
• Develop and deliver frequent internal compliance trainings
• Organise frequent meetings with the Board where compliance, operations and risk reports
are discussed
• Manage cooperation between three different entities ensuring operations run smoothly
• Ensure Company compliance with FCA supervisory requirements along with International,
European and foreign legislation and regulations
• Perform regular reviews of Company's procedures in accordance with the industry practice
and within the scope of EU law
• Design and implement Financial Crime procedures and related systems
• Manage Back Office department which involves onboarding client procedure, KYC/AML
related activity and monitoring
• Oversee Company's compliance in relation to MiFID II, EMIR, GDPR & FATCA Regulations
• Oversee transaction reporting in cooperation with Risk Department
• Monitor suspicious account activity. Prepare and submit SARs
• Design and implement a Compliance Monitoring Programme
• Liaise with external advisers on corporate compliance matters
• Prepare and submit FCA reports
• Provide advice and guidance to employees on compliance matters
• Develop and deliver frequent internal compliance trainings
• Organise frequent meetings with the Board where compliance, operations and risk reports
are discussed
• Manage cooperation between three different entities ensuring operations run smoothly
Design, Operations, GDpr, Onboarding, Compliance, Monitoring, Office, International, EU Law, KYC, Manager, MiFID
My education
2009
-
2014
University of Granada
Bachelors, Building Engineering
Bachelors, Building Engineering
Chartered Institute for Securities AND Investment
N/a, N/a
N/a, N/a
Chartered Institute for Securities AND Investment
N/a, N/a
N/a, N/a
Chartered Institute for Securities AND Investment
N/a, N/a
N/a, N/a
Cyprus University of Technology
N/a, N/a
N/a, N/a
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