Compliance Advisory Officer

We have an exciting opportunity for a Compliance Officer to join our UK Compliance team. Reporting into the Head of Compliance Advisory, your position will involve supporting the Compliance Advisory function in ensuring that the firm meets its regulatory objectives.

Please note that this is an onsite role that will require you to work within our London office (near Liverpool street) 5 days on site per week.

Key Responsibilities

• Assist in delivery of an effective compliance advisory function within CMC Markets’ UK regulated Firms


• Providing daily regulatory advice to the business to ensure that commercial enterprises are conducted wholly in accordance with CMC’s regulatory obligations


• Acting as Compliance lead and/ or Compliance stakeholder for key commercial and regulatory change projects


• Proactive liaison with project stakeholders across the business and working cooperatively to ensure completion within deadlines. Report progress and escalate issues to the Head of Compliance Advisory and the Chief Compliance Officer.


• Being a key stakeholder/ Compliance lead for new product launches from a regulatory advisory perspective


• Assisting in coordinating key workstreams, projects and tasks (regular and ad hoc) within the Compliance team and across the business


• Assisting in the day to day management of the Compliance Advisory Inbox


• Develop good working relationships with key stakeholders across the CMC Group


• Promotion of a good compliance culture within the Compliance team and across the business, including the continual embedment of the firms’ Consumer Duty obligations


• Assisting with Group initiatives and collaborations with wider Group Compliance colleagues


• Production of 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 (who focus on monitoring, training and policy) 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


• When dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high-quality service that presents a professional and positive image of CMC Markets


• Take all reasonable steps to ensure appropriate confidentiality


• Undertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general level of responsibility of this role.

Key Skills & Experience

• Experience of working in a Compliance advisory function with an applicable regulatory framework


• Experience of delivery of compliance projects and being 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

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.

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