Compliance Officer

About this role

CMC is looking for an experienced Compliance Officer to join our Compliance team. This is a Second Line of Defence role supporting the delivery of an effective UK Compliance function across CMC’s UK regulated firms, with responsibility for contributing to both compliance advisory activity and risk-based monitoring oversight. The role helps ensure that the business receives clear, practical and timely regulatory advice, while also supporting the identification, assessment and management of key compliance risks through the Compliance Risk Assessment and Compliance Monitoring Programme.

The role will work closely with Compliance colleagues, business stakeholders, support functions and wider Group teams to help ensure that regulatory obligations are understood, embedded and monitored effectively across relevant business areas. This includes supporting commercial and regulatory change projects, new product initiatives, thematic reviews, control testing, Management Information, governance reporting and the tracking of remediation actions.

The successful candidate will be expected to provide constructive challenge, build strong stakeholder relationships and support a joined-up approach across the UK Compliance function. The role will also contribute to the continued enhancement of the UK Compliance Framework by identifying emerging risks, control gaps, trends and opportunities for improvement, while promoting a strong compliance culture and supporting good customer outcomes, including the firm’s Consumer Duty obligations.

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

• Provide day-to-day regulatory advice to the business, helping ensure activities are conducted in line 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; performing file reviews, sampling, data analysis and control effectiveness assessments, identifying issues, trends, control gaps and potential improvements.
• Act as Compliance stakeholder or lead for key commercial, regulatory change and new product initiatives, liaising with stakeholders and escalating issues where appropriate.
• Support responses to regulatory, audit, counterparty and third-party information requests.
• Draft clear working papers, policies, review reports, Management Information and governance reporting for Compliance colleagues, senior stakeholders and relevant committees.
• Track remediation actions, liaise with stakeholders on agreed action points and support follow-up testing to confirm issues have been addressed.
• Build effective relationships with the business, support functions, Group Compliance, Risk, CASS and other second-line stakeholders to support a joined-up Compliance approach.
• Work closely with the wider Compliance team, including monitoring, policy and training colleagues, to share best practice and strengthen the UK Compliance Framework.
• Promote a strong compliance culture across the business, including the continued embedding of Consumer Duty obligations.
• Keep up to date with regulatory, legislative and business changes, updating relevant compliance frameworks, policies and programmes where required.
• Proactively suggest enhancements to improve the efficiency and effectiveness of the UK Compliance Framework.
• Maintain personal and professional development, including completion of relevant regulatory and legislative training.
• Ensure confidentiality is maintained and provide a clear, fair, consistent and professional service when dealing with clients, customers, colleagues and external stakeholders.
• Undertake any other reasonable duties, training or working hours consistent with the level of responsibility of the role.

Key Skills & Experience

• 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, with 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

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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