Compliance Advisory Officer

CMC Markets; Greater London; On-site; GBP 65,000 - 90,000; Full time

Job summary

CMC Markets is seeking a Compliance Officer to join our UK Compliance team in London, reporting to the Head of Compliance Advisory. The role focuses on delivering regulatory advice, supporting advisory projects, and promoting a strong compliance culture across the business.

This on-site position requires five days in the London office near Liverpool Street. The successful candidate will have solid experience in compliance advisory, strong stakeholder engagement skills, and a proactive approach

Qualifications

• Experience in a compliance advisory function within a regulated environment.
• Ability to interpret regulatory publications and advise business stakeholders.

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 adherence to regulatory obligations
• Acting as Compliance lead for key regulatory change projects
• Liaising with project stakeholders and meet deadlines
• Report progress to Head of Compliance Advisory and the Chief Compliance Officer
• Support new product launches from a regulatory perspective
• Coordinate workstreams and tasks within the Compliance team
• Manage the Compliance Advisory Inbox
• Develop relationships with stakeholders across the CMC Group
• Promote a strong compliance culture including Consumer Duty obligations
• Contribute to Group initiatives with wider Group Compliance colleagues
• Produce MI and reports
• Assist in day-to-day management of the Compliance Advisory team
• Collaborate with the wider UK Compliance team to ensure a joined-up approach
• Suggest and implement process improvements in UK Compliance Framework
• Handle third-party queries for regulators and auditors
• Maintain ongoing professional development and regulatory training
• Ensure professional service quality when dealing with customers

Skills

Regulatory knowledge

Compliance advisory

Stakeholder engagement

Regulatory reporting

Analytical skills

Job description

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. To be successful in this role, you will need to demonstrate strong experience in a Compliance Advisory position, with a proven ability to partner with and provide advice to key business stakeholders. 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 elevate 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 and 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
• 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

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.

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.