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About the Role

This Second Line of Defence role supports the delivery of CMC’s risk-based Compliance Monitoring Programme and wider compliance oversight activities. The role is ideal for someone looking to build practical, hands-on experience across compliance monitoring, testing, assurance, and reporting within a dynamic financial services environment.

Responsibilities

• Support the execution and ongoing development of the Compliance Risk Assessment (CRA) and risk-based Compliance Monitoring Programme (CMP)
• Assist with monitoring, testing, and thematic reviews across onboarding, KYC, transaction monitoring, sanctions, complaints, outsourcing, and other compliance risks
• Conduct file reviews, sampling, data analysis, and assessments of control design and operating effectiveness
• Identify control gaps, trends, themes, and emerging risks, and support enhancements to the compliance framework
• Draft working papers, review reports, MI, and governance reporting for senior stakeholders and committees
• Track remediation actions and support follow-up testing to ensure issues are resolved
• Build strong working relationships across the business, Compliance, Risk, CASS, and other second-line teams
• Support internal and external audits, regulatory queries, and wider compliance activities
• Keep up to date with regulatory and business changes and update the CRA and CMP accordingly
• Maintain ongoing professional development and complete relevant regulatory training
• Undertake any other reasonable duties consistent with the level of the role

Requirements

• Relevant experience within a regulatory compliance or compliance monitoring role (non-AML)
• Good understanding of FCA regulations including COBS, SYSC, CASS, and PRIN
• Experience working with internal and external auditors
• Ability to manage competing priorities and work effectively under pressure
• Strong attention to detail and willingness to learn
• Clear written and verbal communication skills
• Analytical mindset with strong problem-solving ability
• Excellent organisational skills and ability to manage tasks independently

Skills

• Microsoft Excel
• Microsoft PowerPoint
• Microsoft Word

Location

• London, UK

Work Type

• Onsite
• Full-time

Experience Level

• Mid-level

About the Company

• CMC Markets is one of the world’s first ever fin-tech companies and was launched in 1989 to break down the barriers of financial trading and make 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 out there.
• Our clients can trade on thousands of instruments using the best technology, supported by sophisticated charting, competitive pricing and automated execution.
• We're trusted by investors globally, but also by banks, brokers, funds and trading desks though our top-tier liquidity institutional offering, enabling these businesses to expand into new markets and increase revenue potential.
• We were recently listed on the FTSE250, and our business continues to go from strength to strength as we continue to invest in our technology and our people.

Equal Opportunity

• CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified 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.