Compliance & Risk Officer
SecuritizeSpain5 days ago
Full-timeRemote FriendlyFinance, Sales
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Securitize, the leader in tokenizing real-world assets with $3.7B+ AUM (as of May 5, 2025), is
bringing the world on-chain through tokenized funds in partnership with top-tier asset managers,
such as Apollo, BlackRock, Hamilton Lane, KKR, and others. Securitize, through its
subsidiaries, is a SEC-registered broker dealer, digital transfer agent, fund administrator, and
operator of a SEC-regulated Alternative Trading System (ATS).
Securitize is a global, fully remote team consisting of top talent from the blockchain and
financial services industries. Having raised $170M overall to date, we are backed by some of the
largest names in finance and technology, including BlackRock, Morgan Stanley, Blockchain
Capital, MUFG, Sumitomo Mitsui Trust Bank, Sony Finance, Banco Santander, Coinbase,
among others. Securitize has also been recognized as a 2025 Forbes Top 50 Fintech company.
Before applying, we encourage you to visit us to learn more:
Website | X/Twitter | LinkedIn
About The Role
The Compliance & Risk Officer will play a critical role in ensuring Securitize meets all regulatory obligations under CNMV and EU MiFID frameworks. This position is responsible for monitoring compliance systems, assessing operational and market risks, implementing adequate controls, and partnering closely with senior stakeholders to ensure the firm maintains the highest standards of regulatory integrity.
This is a foundational role within our European regulated entity and requires strong analytical skills, deep regulatory expertise, and the ability to operate in a fast-moving, technology-driven environment.
What You’ll Do
Compliance Responsibilities
Become a part of our rapidly expanding organization and enjoy a supportive and rewarding work environment:
bringing the world on-chain through tokenized funds in partnership with top-tier asset managers,
such as Apollo, BlackRock, Hamilton Lane, KKR, and others. Securitize, through its
subsidiaries, is a SEC-registered broker dealer, digital transfer agent, fund administrator, and
operator of a SEC-regulated Alternative Trading System (ATS).
Securitize is a global, fully remote team consisting of top talent from the blockchain and
financial services industries. Having raised $170M overall to date, we are backed by some of the
largest names in finance and technology, including BlackRock, Morgan Stanley, Blockchain
Capital, MUFG, Sumitomo Mitsui Trust Bank, Sony Finance, Banco Santander, Coinbase,
among others. Securitize has also been recognized as a 2025 Forbes Top 50 Fintech company.
Before applying, we encourage you to visit us to learn more:
Website | X/Twitter | LinkedIn
About The Role
The Compliance & Risk Officer will play a critical role in ensuring Securitize meets all regulatory obligations under CNMV and EU MiFID frameworks. This position is responsible for monitoring compliance systems, assessing operational and market risks, implementing adequate controls, and partnering closely with senior stakeholders to ensure the firm maintains the highest standards of regulatory integrity.
This is a foundational role within our European regulated entity and requires strong analytical skills, deep regulatory expertise, and the ability to operate in a fast-moving, technology-driven environment.
What You’ll Do
Compliance Responsibilities
- Establish, maintain, and apply procedures to detect and correct non-compliance with applicable regulations and internal operating rules.
- Evaluate the sufficiency and effectiveness of the ESI’s compliance controls.
- Conduct reviews and perform ongoing compliance testing against internal policies and procedures.
- Monitor regulatory updates and new requirements; advise senior management on their operational impact and ensure timely implementation.
- Prepare and deliver formal compliance reports to the BoD, including findings, risk assessments, and proposed corrective actions.
- Maintain documented records supporting all compliance controls and procedures.
- Manage relationships with supervisory authorities, responding to regulatory inquiries as needed.
- Lead ongoing activities related to identification, measurement, and control of significant risks affecting the organization.
- Verify compliance with risk limits approved by the BoD, ensuring alignment with the firm’s defined risk profile.
- Assess efficiency and effectiveness of the firm’s risk control systems; recommend improvements and ensure continuous updating of risk procedures.
- Notify the Head of Regulatory Compliance and the General Director of incidents, non-compliance events, or risk-limit breaches; oversee the corrective measures implemented.
- Ensure compliance with measures necessary for orderly management of the investment portfolio in urgent or risk-sensitive situations. Prepare and submit periodic risk reports to the BoD, summarizing analyses, findings, and recommendations.
- University degree in legal, economic, or financial sciences.
- Training in regulatory compliance (MiFID II, CNMV standards, or equivalent).
- 2+ years of experience in a regulatory compliance or risk function within a financial institution (investment firm, bank, broker-dealer preferred).
- Strong understanding of EU and Spanish regulatory frameworks governing investment services.
- Ability to manage detailed processes, risk frameworks, and regulatory documentation with precision.
- Strong communication skills, including the ability to interact effectively with regulators, senior management, and cross-functional teams.
- Familiarity with digital assets or fintech environments is considered an advantage
Become a part of our rapidly expanding organization and enjoy a supportive and rewarding work environment:
- Unlimited Paid Time Off (PTO) – Promoting a healthy work-life balance.
- Equity Grant Opportunities – Share in the success and future growth of the company.
- Remote Work Flexibility – Work from anywhere while staying connected with a dynamic and collaborative team.
- Comprehensive Insurance Coverage – 100% employer-paid Medical, Dental, and Vision benefits for you and your family.
- 401(k) Retirement Plan – Secure your financial future with employer-sponsored savings.
Key Skills
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