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About the Role
This Second Line of Defence role supports the UK Compliance function across CMC’s UK regulated firms. The role will deliver compliance advice and risk-based monitoring, contributing to the identification, assessment, and management of compliance risks through the Compliance Risk Assessment and Compliance Monitoring Programme. The Officer will collaborate with various teams to ensure regulatory obligations are understood and followed, supporting change projects, new initiatives, reviews, and reporting.
Responsibilities
- Provide day-to-day compliance support and guidance to the business, referring complex or higher-risk questions to more senior colleagues.
- Assist with maintaining the Compliance Risk Assessment and translating advisory considerations into appropriate monitoring, policy and control considerations.
- Contribute to commercial, regulatory change and new product initiatives by gathering information, reviewing materials and identifying relevant compliance considerations.
- Support thematic reviews and control assessments; document findings, identify trends and escalate issues.
- Assist with responses to regulatory, audit, counterparty and third-party information requests.
- Prepare clear working papers, draft policies and review reports, and contribute to Management Information and governance reporting.
- Maintain the remediation actions log, follow up with stakeholders on agreed actions and assist with testing to confirm issues have been addressed.
- Build effective working relationships with the business, support functions, Group Compliance, Risk, CASS and other second-line teams.
- Work with monitoring, policy and training colleagues to share information and support the UK Compliance Framework.
- Help promote a strong compliance culture, including supporting the embedding of Consumer Duty obligations.
- Keep up to date with relevant regulatory, legislative and business changes, and help update compliance materials and programmes as required.
- Identify and raise suggestions that could improve the efficiency or effectiveness of Compliance processes.
- Maintain personal and professional development, including completing relevant regulatory and legislative training.
- Maintain confidentiality and provide a clear, fair, consistent and professional service to clients, customers, colleagues and external stakeholders.
- Undertake other reasonable duties, training or working hours consistent with the level of responsibility of the role.
Requirements
- Experience in a regulatory compliance advisory role.
- Experience advising on regulatory requirements and translating advice into practical policy, control or monitoring considerations.
- Working knowledge of FCA requirements, such as COBS, SYSC, CASS and PRIN, with a willingness to develop this knowledge.
- Non-AML compliance monitoring experience would be an advantage.
- Good working proficiency in Microsoft PowerPoint, Excel and Word, including preparing presentations, analysing data and producing accurate documentation.
- Some experience supporting work with internal or external auditors.
- Ability to work under pressure, manage competing priorities and meet deadlines.
- Strong attention to detail and willingness to learn.
- Clear written and verbal communication skills.
- Analytical approach, with the ability to investigate issues and suggest practical next steps.
- Good organisational skills.
- Ability to manage assigned tasks independently and seek guidance when needed.
Skills
- Microsoft PowerPoint
- Microsoft Excel
- Microsoft Word
- Compliance Risk Assessment
- Compliance Monitoring Programme
- Regulatory Advice
- Policy Development
- Control Assessment
- Data Analysis
- Documentation Production
- Auditor Support
- Communication
- Analytical Thinking
- Problem-Solving
- Organisational Skills
- Independent Task Management
Location
- London, UK
Work Type
- Onsite
- Full-time
Experience Level
- Second Line of Defence experience
- Compliance advisory experience
About the Company
- 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.
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.