Pedro Miguel Pernías Pérez Compliance Specialist

Compliance Specialist

Saol Assurance dac

Jun 2025 - Current (1 year 5 months)

- Conducted risk-based AML/CFT monitoring and testing, including Third-Party Reliance Agreement (TPRA) reviews, to assess the effectiveness of controls.
- Supported the development and maintenance of the firm’s AML/CFT framework, ensuring alignment with regulatory requirements and internal policies.
- Monitored ongoing compliance with applicable legislation (e.g. CJA 2010) and regulatory expectations from the Central Bank of Ireland.
- Identified control weaknesses, documented findings, and recommended remediation actions to relevant stakeholders.
- Coordinated and tracked closure of internal audit findings (including AML audits), engaging with cross-functional teams to ensure timely remediation.
- Reviewed legal

Compliance Associate

Prescient

Oct 2022 - Jun 2025 (2 years 9 months)

- Assisting the Head of Compliance in development of the overall Compliance Framework and Compliance Plan.
- Assisting in monitoring the Prescient business in Ireland, ensuring compliance with the compliance framework.
- Performing compliance testing with the compliance and risk frameworks.
- Being a point of contact within Compliance in relation to specific compliance queries.
- Conducting annual reviews and assisting with the updates to the firm’s suite of procedures and policies ensuring adherence to relevant laws and regulations and providing advice to the business on appropriateness and effectiveness of controls in place and the application of regulations and guidance to the business activities of the firm.
- W

Compliance Officer

AvaTrade

Jan 2022 - Aug 2022 (8 months)

- Working experience with updating Policies and Procedures with MiFID II for European licenses of the Ava Group, and equivalent regulation and legislation in other license jurisdictions – such as UK, Australia, Abu Dhabi, British Virgin Islands, etc.
- Experience in Monitoring and Testing on trading, preparing reports that are sent to regulators in the end.
- Experience in Surveillance and monitoring to prevent the company providing investment advice.
- Monitoring of Market Abuse alerts within the company to prevent Market Abuse from clients at the time of trading.
- Support provided to the Head of Compliance by providing data for regulatory requests. This data usually includes the creation of reports and other kind of d

Global Regulatory Onboarding Analyst en London Stock Exchange Group (LSEG)

LSEG London Stock Exchange Group

Mar 2020 - Dec 2021 (1 year 10 months)

- Working knowledge of the Dodd Frank Act and MiFID II as it relates to SEFs and MTFs respectively.
- Expertise, support, and guidance provided globally for Relationship Managers, Sales, and clients regarding SEF, MTF and off venue related issues and onboarding processes and procedures. This includes both email and verbal correspondence as well as client conference calls.
- Operational set-up of clients on regulatory platforms.
- Modification of the regulatory settings for all the FX trading platforms including storage of correspondence and documentation related to onboarding for CFTC and FCA Regulators.
- Verification of data provided by clients for accuracy.
- Support provided to Compliance and Proposition by prov

Senior Associate TA Registration - AML

International Financial Data Services IFDS

Apr 2019 - Mar 2020 (1 year)

- Manage the cyclical review of investors of the diverse funds the company administer that we have on file to repaper AML documentation according to new requirements and legislation as outlined in AML IV Directive and Central Bank of Ireland requirements.
- Assessing Risk of every client we have on file to determine the requirements that we should request/repaper.
- Coordinate and carry out CDD – Customer Due Diligence – on every new account, Simplified or Enhanced where applicable, using local and global regulatory requirements.
- Collate and review information from internal and external sources for company news (Firm website, Regulatory websites, Company website, Bloomberg, Dun & Bradstreet, Google etc.) and investigatin

Senior AML Administrator

BNY Mellon

Jun 2018 - Apr 2019 (11 months)

- Manage the on-boarding of new investors and designated accounts (or portfolios) in the different Funds BNYM administer from the beginning of the process until the Registration process.
- Coordinate and carry out CDD – Customer Due Diligence – on every new account, Simplified or Enhanced where applicable, using local and global regulatory requirements.
- Collate and review information internal and external sources for company news (Firm website, Regulatory websites, Company website, Bloomberg, Dun & Bradstreet, Google etc.)
- Completion of entities’ screening for Sanctions or PEPs, dispelling the alerts matching with the information/documentation on file.
- True Sanctions and PEPs alerts completed following the intern

KYC Analyst

Ig

Mar 2017 - May 2018 (1 year 3 months)

- Analysis of every kind of ID documents using the system Hydra, such as Passports, ID cards and Driving Licenses, received from customers from all around the world - including UK, Ireland, France, Spain, Portugal, LatAm and APAC countries.
- Analysis of other kind of documents such as Utility Bills, work permits, Bank Statements, etc.
- Analysis of Funds focusing on the client's risk to trade.
- Application of MiFID II and EMIR, and the most up-to-date regulations.
- Anti money-laundering policies, anti-Politically Exposed People policies and regulations applied in order to assess client’s suitability to be on-boarded.
- Meeting strict deadlines (SLAs), sometimes less than 1 hour to process the documents. As a team

Credit controller

Sterling Outsourcing

Apr 2016 - Mar 2017 (1 year)

- Made sure that customers received invoices and following them up on the debtor's log until they clear them.
- Creation of a Debtor's log in Excel format everyday.
- Creation of statements on accounts (in all formats, also Excel) existing on the system (SAGE)
- Given calls and emails to customers in English only.
- Allocations of payments for invoices in the ledger (SAGE).
- Raising Credit Notes when necessary (SAGE).
- Creation of new accounts on the system analysing Credit risks (Creditserve).
- Solving queries on invoices and jobs carried out.
- Inbound and outbound calls related with customers' queries.
- Training of new joiners.

Customer Services Executive Spanish & English

lowcosttravelgroup

Jan 2016 - Apr 2016 (4 months)

Provide support to customers from different nationalities, specially Spain, LatAm, UK, Ireland and USA.

Teacher of Spanish

Leader School Nowoczesne Metody Naucznania

Oct 2015 - Dec 2015 (3 months)

Taught Spanish to kids, teenagers and adults, using English as the conductive
language

Pedro Miguel Pernías Pérez

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Pedro Miguel Pernías Pérez

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