Head of Compliance Lisboa

Head of Compliance
Lisboa
Lisboa, Lisboa, Portugal

As the Head of Compliance at Trade Nation Portugal, you will play a critical role in overseeing and managing the compliance program for our Portuguese entity. This leadership position is responsible for developing and implementing compliance policies and procedures to ensure that all activities meet regulatory requirements and internal standards. You will work closely with various teams, including legal, finance, and operations, to create a culture of compliance and mitigate risks.

Who we are

We are Trade Nation. We help our customers power up their trading through killer insights, transparent costs, and fairer ways to trade. We’re innovators, and proud of it. And we’ve grown a lot in our decade as a
- leading
- cost trading powerhouse. Our reach is global through our teams in the UK, Australia, South Africa, Seychelles and The Bahamas.

Founded on transparency, forged in trust and powered by people, we’re committed to empowering our customers to outperform the markets. How? By minimising expenses and harnessing technology to prioritise the lowest trading costs.

Responsibilities

• Ensure the company’s operations comply with all applicable regulations and guidelines set by CMVM.
• Develop, implement, and manage the compliance program, including policies and procedures.
• Monitor regulatory developments and ensure awareness within the organisation.
• Conduct risk assessments and compliance audits, addressing any deficiencies.
• Provide training and support to staff to promote a
  - oriented culture.
• Serve as the main point of contact for regulatory authorities and engage with them effectively.
• Facilitate the timely reporting of
  - related issues and incidents.
• Handle inquiries or audits from regulatory bodies and assist in internal investigations as needed.
• Ensure that all new projects, products, and services are compliant with CMVM regulations before implementation.

Requirements

• Proven experience in a compliance role within the financial services sector for a minimum of 5 years.
• Strong understanding of Portuguese financial regulations and compliance challenges.
• Excellent communication skills, both written and verbal in Portuguese and English, with an ability to influence at all levels.
• Strong analytical and critical thinking skills, with attention to detail.
• Ability to build and maintain relationships across various departments.
• Experience in developing and delivering compliance training programs.
• Bachelor’s degree in Law, Finance, Business Administration, or a related field.
• Previous experience working within a regulated environment in Portugal or the European Union.
• Experience with conducting compliance audits and regulatory reporting.
• Knowledge of
  - money laundering (AML) and
  - terrorist financing (CTF) regulations.

Preferred qualifications:

• Knowledge of FX/CFD’s is beneficial.
• Relevant compliance certifications (e. g. , ICA, CAMS) are a plus.