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About the Role
This Second Line of Defence role supports the delivery of an effective UK Compliance function across CMC’s UK regulated firms. It contributes to compliance advisory activity and risk-based monitoring oversight, ensuring the business receives clear, practical, and timely regulatory advice. The role also supports the identification, assessment, and management of key compliance risks through the Compliance Risk Assessment and Compliance Monitoring Programme.
Responsibilities
- Provide day-to-day regulatory advice to the business, ensuring activities align with CMC Markets’ regulatory obligations.
- Support the delivery and development of the Compliance Risk Assessment and risk-based Compliance Monitoring Programme.
- Assist with monitoring, testing, and thematic reviews, including file reviews, sampling, data analysis, and control effectiveness assessments.
- Act as a Compliance stakeholder or lead for key commercial, regulatory change, and new product initiatives.
- Support responses to regulatory, audit, counterparty, and third-party information requests.
- Draft clear working papers, policies, review reports, Management Information, and governance reporting.
- Track remediation actions and liaise with stakeholders on agreed action points.
- Build effective relationships with the business, support functions, Group Compliance, Risk, CASS, and other second-line stakeholders.
- Work closely with the wider Compliance team to share best practice and strengthen the UK Compliance Framework.
- Promote a strong compliance culture, including the embedding of Consumer Duty obligations.
- Keep up to date with regulatory, legislative, and business changes, updating compliance frameworks, policies, and programmes.
- Proactively suggest enhancements to improve the efficiency and effectiveness of the UK Compliance Framework.
- Maintain personal and professional development, including relevant training.
- Ensure confidentiality and provide a clear, fair, consistent, and professional service.
- Undertake any other reasonable duties, training, or working hours consistent with the role's responsibilities.
Requirements
- Relevant experience in a (non-AML) regulatory compliance/monitoring role.
- Good knowledge and understanding of FCA (COBS, SYSC, CASS, PRIN etc).
- Advanced proficiency in Microsoft PowerPoint, Excel, and Word.
- Strong capability in preparing presentations, analysing data, and producing high-quality documentation.
- Experience working with Internal/External Auditors.
- Ability to work effectively under pressure and manage competing priorities within tight deadlines.
- Strong attention to detail and willingness to learn.
- Clear written and verbal communication skills.
- Analytical and enquiring nature, ability to solve problems.
- Excellent organisational skills.
- Ability to independently manage tasks.
Skills
- Regulatory advice
- Risk assessment
- Compliance monitoring
- FCA regulations (COBS, SYSC, CASS, PRIN)
- Microsoft PowerPoint
- Microsoft Excel
- Microsoft Word
- Presentation preparation
- Data analysis
- Documentation production
- Stakeholder management
- Problem-solving
- Organisational skills
- Independent task management
Location
- UK
Work Type
- Full-time
Experience Level
- Experienced
About the Company
- CMC Markets is an equal opportunities employer.
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.