Carlos Antonio Ballesteros Blanco

LAW GRADUATE COMPLIANCE & FINANCIAL REGULATION

Legal

Madrid, Madrid

Acerca de Carlos Antonio Ballesteros Blanco:

Law graduate with a Master’s degree in Financial Markets and hands-on experience in Compliance, AML/CFT and Financial Regulation within a regulated investment firm. Strong background in KYC/KYB reviews, market abuse controls and regulatory reporting to Spanish and EU authorities. Analytical and detail-oriented profile with solid knowledge of MiFID II, DORA, MiCA and AML regulations. Seeking an entry-level position in Compliance, Risk or Financial Regulation.

Experiencia

Caser Valores e Inversiones A.V, S.A.U Madrid

Internship as Compliance and Internal Audit Technician January 2025, July 2025

Internship contract during which I performed the following tasks:

-KYC and KYB analysis with the practice of CDD and EDD and research about High-Risk Clients and PRP´s.

-Resolution and analysis of AML/CFT alerts, with communications when needed to the competent authority (SEPBLAC)

-Analysis of applicable regulations (LMV, CNMV Circulars and EU Regulations (MICA, RIA, MiFIDII)

-Application and resolution of DORA regulations at the Securities Agency communicating with CNMV, BdE and EBA.

-Controls and analysis of market abuse alerts with the preparation of STOR communications according to applicable regulations.

-Drafting and review of various agency policies (ESG, AML/CFT, COI…).

-Internal audit on Solventy Ratios and reconciliation of operations in Fixed Income and Equity.

-Controls and analysis of results of the financial agents, control on documentation and licenses.

-Assessment of legal viability of new financial products.

Prados Moros S.L Madrid

Maitre & Head Bartender April 2018, December 2023

Coordination of the dining room and bar team (20+ employees), staff management, stock duties and customer relations, teaching and training of the new staff, first class attention to the clients with immediate resolution of the incidents and requests.