FundRock is a Pan-European leading independent UCITS management company and AIFM (Alternative Investment Fund Manager). Our clients are established blue-chip companies and leaders in their domestic market.
We invest in our people, enabling you to develop your skills and build on your experience.
If you like the idea of working for an ambitious and growing company, as part of a multicultural team, we are the place for you.
Role: Compliance Officer
Role Location: Valencia
Employment Type: Permanent
Role summary:
As a Compliance Officer at Apex Group, this role acts as a key contributor to both day‑to‑day and strategic compliance matters, ensuring adherence to local regulations, AML/CFT requirements, and internal and group policies. The position provides regulatory guidance across all levels of the organization, oversees compliance controls and monitoring, manages key compliance registers, and serves as an escalation point for complex AML/KYC, sanctions, and KYA matters. Working closely with internal and external MLROs, portfolio managers, transfer agents, and auditors, the role supports high‑risk assessments, regulatory reporting, and investor due diligence, while also contributing to policy development, staff training, and annual compliance and AML risk reporting.
Key responsibilities:
Key player in the Compliance Team for a broad spectrum of day-to-day-business and strategic topics.
Ensure compliance, together with the Compliance Team, with local laws and regulations as well as with the internal and group policies and procedures.
Give guidance to all levels of employees in relation to the execution and implementation of regulatory obligations and the internal procedures.
Management and performance of controls in accordance with the Compliance Monitoring Plan and ad hoc controls.
Oversee the maintenance of Compliance logs, such as Conflict of Interest register, Complaints register, PEP register; including the assessment of situations in these subject areas.
Take on tasks in the daily processing of hits as part of the AML/CFT and sanctions screening of clients, business partners and funds assets.
Act as an escalation point when analyzing AML/KYC for new and existing clients.
Act as an escalation point for (delegated) Portfolio-Management when analyzing KYA (Know your assets) for new and existing investments and establish appropriate mitigation measures. If necessary, also in direct contact with external investment advisors or portfolio managers.
Act as connecting link to internal and external funds RCs (MLRO). Preparation and submission of the LIS RC's opinion and further coordination with internal and external RCs in case of high risk assets.
Provide support for the internal RCs appointed for funds in the event of complex issues.
Answering and/or monitoring AML/CFT related DD questionnaires/questions (from clients, fund investors and funds auditors) on LIS / or the funds;
Issuance/preparing of AML / comfort letters and beneficial ownership confirmations.
Supervise the review of the AML/CFT KPIs from transfer agents, delegated portfolio managers and oversee the risk assessments for the respective funds.
Train junior staff;
Develop and maintain the Compliance and AML/CFT Policies and Procedures and assist in the introduction of group policies.
Support the preparation of the annual Compliance report, the AML/CFT risk report, the annual AML/CFT risk assessment.
Provide support to the Head of Compliance & house trainings to all level of staff.
Skills & experience required:
4 + years of relevant industry experience.
Strong academic background (preferably in law or economics) and at least five years of relevant work experience in the financial services industry, a credit institution or an auditor, preferably in a Compliance or Internal Audit department or in a cross-functional department;
Willingness to gain and maintain a solid knowledge of the relevant legal and regulatory requirements of the fund industry in Luxembourg as well as AML/CFT.
Strong communication and negotiation skills in English, German would be a strong asset (basic knowledge of the French language is desirable).
You like making decisions and working on multiple issues on a daily basis.
Ability to prioritize tasks, like to carry out tasks on your own responsibility, but you also enjoy working in a team and with different departments.
First experiences in private capital markets would be appreciated.
Excellent skills with MS Office programs.
What you will get in return:
Hybrid working model
Private health insurance
27 working days holiday + Public holidays
Opportunities for professional development.
Professional Development (CPD) and Study Guidance programs
Positive and hospitable work environment.
Opportunity to work with a diverse, agile and global team.
Exposure to all aspects of the business and cross-jurisdiction.
A genuinely unique opportunity to be part of an expanding large global business + more
At Apex Group, we are committed to creating a diverse and inclusive workplace. In Spain, this includes our obligation under the LGD to ensure that people with disabilities are represented within our teams. If you have a recognized disability ( 33%), we welcome your application and will provide reasonable adjustments throughout the recruitment process.
As a vital team member and in return for your expertise, inclusive approach and commitment, we'll provide a favourable salary and the chance to join a passionate and welcoming team. Benefits As a truly global business, we tailor benefits to each location to safeguard our people and respect local cultures and ways of working. Our people are our greatest asset, and we invest in talent development. Join our global network, and you will benefit from education support, sponsorship and in-house training programs.
Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.
