Control Room Associate

Responsibilities

• Manage the implementation and ongoing execution of the Firm’s CR program, identifying and mitigating compliance and regulatory risks associated with insider trading, information barriers, conflicts of interest, and employee securities trading
• Maintain the Firm’s Information Barriers framework, including the administration of Watch and Restricted Lists, management of wall-crossings and Inside/Confidential Projects, and annual reviews of information barriers across the US business
• Conduct surveillance of employee personal trading through various monitoring tools, including the review of alerts, investigation of potential violations, approval of pre-clearance requests, maintenance of brokerage accounts, and reconciliation of employee trading activity
• Investigate CR and employee trading matters, prepare appropriate documentation and communications, escalate issues when necessary, and provide compliance guidance to employees, management, and business stakeholders
• Monitor regulatory developments impacting CR activities and recommend enhancements to policies, procedures, controls, and surveillance processes
• Manage the US Registration Program, including FINRA, SEC, NFA (where applicable), and state licensing requirements, ensuring timely registrations, amendments, transfers, terminations, and continuing education compliance
• Maintain registration records and provide guidance to employees and management regarding licensing and regulatory obligations
• Develop, maintain, and enhance policies, procedures, operating instructions, and governance documentation
• Support regulatory examinations, internal audits, regulatory inquiries, and remediation efforts
• Develop and deliver Compliance training, conduct new hire orientations, and support the administration of Outside Business Activities (OBA) and Private Securities Transactions (PST)
• Prepare management reporting, compliance metrics, and documentation for senior management, governance committees, regulators, and internal stakeholders
• Participate in initiatives to improve CR processes, surveillance capabilities, compliance technology, and operational efficiency, while collaborating with Global Compliance and other control functions

Preferred

• FINRA SIE, Series 7 and Series 24
• Bilingual English/Spanish preferred

Benefits

• Hybrid work arrangement
• A generous employee benefits package
• Eligibility to receive a discretionary bonus
• Glassdoor
• 4.2
• Digital banking and financial services provider.
• Bilbao, Pais Vasco, ESP
• https://bbva.csod.com
• Late Stage
• Leadership Team
• Luis C.
• CTO, New Business Models & Strategy
• Diego Crasny (CPA)
• General Manager New York & Chief Financial Officer CIB USA
• Recent News
• Mexico Business
• World Cup Misses Mexico Growth Targets by US$191 Million
• 2026-08-22
• El Español
• La banca española usa el caso de Bizum para colaborar en el impulso de FrauDfense contra el fraude financiero
• 2026-06-22
• Adicae se personará en el expediente de la CNMC a la banca pero Jefferies no prevé multas a los seis grandes bancos
• 2026-06-19
• Company data provided by
• AI Tools
• Customize Your Resume
• Maximize your interview chances
• Build Cover Letter
• Make your application stand out
• Analyze How Well You Fit

Qualifications

• Bachelor's degree in Business, Finance, Economics, Law, or a related field, or equivalent relevant experience
• Minimum of 4 years of Compliance experience within US regulated financial institutions, preferably supporting Corporate & Investment Banking
• Experience managing or supporting CR, Information Barriers, Employee Personal Trading, Conflicts of Interest, and Registration programs
• Strong knowledge of SEC, FINRA, CFTC, NFA, Broker-Dealer, Capital Markets, Swap Dealer regulations
• Experience supporting regulatory examinations, internal audits, and regulatory inquiries
• Experience with surveillance platforms such as MCO or similar systems
• Strong knowledge of US securities regulations and Control Room practices
• Strong analytical, investigative, organizational, and project management skills
• Proficiency in Microsoft Excel and Google Workspace
• Excellent written and verbal communication skills with the ability to build strong relationships across business and control functions
• Ability to manage multiple priorities while maintaining a high level of integrity, confidentiality, and attention to detail
• Employment eligibility to work with BBVA in the U.S. is required as the company will not pursue visa sponsorship for these positions
• FINRA SIE, Series 7 and Series 24
• Bilingual English/Spanish preferred
• Minimum of 4 years of Compliance experience within US regulated financial institutions, preferably supporting Corporate & Investment Banking.

Required skills

• CFTC Regulations, Compliance Examinations and Audits, Conflicts of Interest, Control Room Compliance, Employee Personal Trading Surveillance, FINRA Regulations, FINRA SIE, Google Workspace, Information Barriers, MCO Surveillance Platform, NFA Regulations, SEC Regulations, Series 24, Series 7, US Securities Regulations

Preferred skills

• Bilingual English/Spanish preferred, FINRA SIE, Series 7 and Series 24

Experience

• 4+ years