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.

Responsibilities

• Assist in delivery of an effective compliance advisory function within CMC Markets' UK regulated firms.
• Provide daily regulatory advice to the business to ensure commercial enterprises are conducted wholly in accordance with CMC's regulatory obligations.
• Act as compliance lead and/or compliance stakeholder for key commercial and regulatory change projects.
• Proactively liaise with project stakeholders across the business and work cooperatively to ensure completion within deadlines.
• Report progress and escalation issues to the Head of Compliance Advisory and the Chief Compliance Officer.
• Serve as a key stakeholder/compliance lead for new product launches from a regulatory advisory perspective.
• Assist in coordinating key workstreams, projects and tasks (regular and adhoc) within the compliance team and across the business.
• Assist in day to day management of the compliance advisory inbox.
• Develop good working relationships with key stakeholders across the CMC Group.
• Promote a good compliance culture within the compliance team and across the business, including the continual embedment of the firm's Consumer Duty obligations.
• Assist with group initiatives and collaborations with wider group compliance colleagues.
• Produce management information and reports.
• Assist the Head of Compliance Advisory in 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 a clear, fair and consistent high quality service is provided that presents a professional and positive image of CMCMarkets.
• Take all reasonable steps to ensure appropriate confidentiality.
• Undertake such other duties, training and/or hours of work as may be reasonably required and 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 ownership of tasks.
• Ability to liaise and build effective working relationships with a range of stakeholders of all levels of seniority.
• Competent in researching regulatory requirements and drawing meaningful interpretations and feedback for compliance colleagues and business stakeholders.
• Ability to interpret regulatory publications and assess impact on CMC.
• Ability to communicate effectively to all levels of the business.
• Excellent report writing and analytical skills.
• Ability to 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 written and verbal communication skills.
• Ability to respond and adapt positively to changing and competing priorities.
• Strong team player with the ability to self manage as and when required.

Equal Opportunity Statement

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.