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About the Role

This position involves supporting the Compliance Advisory function to ensure the firm meets its regulatory objectives, acting as a key stakeholder for regulatory advice and projects.

Responsibilities

• Assist in the delivery of an effective compliance advisory function within CMC Markets’ UK regulated Firms.
• Provide daily regulatory advice to the business to ensure commercial enterprises are conducted in accordance with CMC’s regulatory obligations.
• Act as Compliance lead and/or Compliance stakeholder for key commercial and regulatory change projects.
• Proactively liaise with project stakeholders across the business to ensure completion within deadlines.
• Report progress and escalate issues to the Head of Compliance Advisory and the Chief Compliance Officer.
• Serve as a key stakeholder/Compliance lead for new product launches from a regulatory advisory perspective.
• Assist in coordinating key workstreams, projects, and tasks within the Compliance team and across the business.
• Assist in the day-to-day management of the Compliance Advisory Inbox.
• Develop good working relationships with key stakeholders across the CMC Group.
• Promote a good compliance culture within the Compliance team and across the business, including the embedment of the firm’s Consumer Duty obligations.
• Assist with Group initiatives and collaborations with wider Group Compliance colleagues.
• Produce MI and reports.
• Assist the Head of Compliance Advisory in the day-to-day management of the Compliance Advisory team.
• Work closely with the wider Compliance team to ensure a joined-up approach across the UK Compliance team.
• Proactively suggest enhancements to improve the efficiency and effectiveness of the UK Compliance Framework.
• Assist with third-party queries and requests for information, including those from regulators, auditors, and counterparties.
• Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training.
• Provide a clear, fair, and consistent high-quality service that presents a professional and positive image of CMC Markets when dealing with customers, clients, or colleagues.
• Take all reasonable steps to ensure appropriate confidentiality.
• Undertake other duties, training, and/or hours of work as may be reasonably required and consistent with the general level of responsibility of this role.

Requirements

• Experience of working in a Compliance advisory function with an applicable regulatory framework.
• Experience of delivering compliance projects and being the compliance point of contact for business projects and workstreams.
• Good, broad understanding of key aspects of the UK regulatory framework applicable to CMC’s business model.
• Good knowledge of the products offered by CMC.
• Proactive in taking ownership of tasks.
• Able to liaise and build effective working relationships with a range of stakeholders of all levels of seniority.
• Competent in researching regulatory requirements and relating meaningful interpretations and feedback to Compliance colleagues and business stakeholders.
• Ability to interpret regulatory publications and assess impact upon CMC.
• Able to communicate effectively to all levels of the business.
• Excellent report writing and analytical skills.
• Can give direction to others to produce high-quality work both independently and as part of a team.
• Proactive in suggesting and implementing process improvements where required.
• Organised and self-motivated working style.
• Analytical approach with attention to detail.
• Strong communication skills, written and verbal.
• Able to respond and adapt positively to changing and competing priorities.
• Strong team player with ability to self-manage as and when required.

Skills

• Compliance advisory
• Regulatory framework
• Project delivery
• Regulatory advice
• Stakeholder management
• Regulatory research
• Regulatory interpretation
• Report writing
• Analytical skills
• Communication skills (written and verbal)
• Process improvement
• Teamwork
• Self-management
• Adaptability

Location

• UK

Work Type

• Full-time

Experience Level

• Mid-level

About the Company

• CMC Markets is one of the world’s first fin-tech companies, launched in 1989 to make financial trading accessible to everyone.
• Our mission is to use our award-winning, Next Generation trading platform and unparalleled client service to empower millions of people to have the best trading experience.
• Clients can trade on thousands of instruments using the best technology, supported by sophisticated charting, competitive pricing, and automated execution.
• We are trusted by investors globally, as well as by banks, brokers, funds, and trading desks through our top-tier liquidity institutional offering.
• We were recently listed on the FTSE250, and our business continues to grow as we invest in technology and people.

Equal Opportunity

• CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.