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Compliance Manager

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CMC Markets

Jan 7

  • Job
    Full-time
    Senior Level
  • Legal
  • London
  • Quick Apply

AI generated summary

  • You need experience in compliance advisory, a grasp of UK regulations, project management skills, strong analytical abilities, and excellent communication to build stakeholder relationships.
  • You will provide compliance advice, manage a junior team, liaise with stakeholders, oversee projects, promote compliance culture, and handle regulatory queries while ensuring service quality.

Requirements

  • Experience of working in a Compliance advisory function with an applicable regulatory framework
  • Ability to, and experience of management and 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 and manage others

Responsibilities

  • Assist in delivery of an effective compliance advisory function within CMC Markets UK regulated Firms
  • Line management of a junior team member (Compliance Analyst)
  • 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 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 Deputy Head of UK Compliance and the Head of UK Compliance.
  • Being a key stakeholder/ Compliance lead for new product launches from a regulatory advisory perspective
  • Managing and coordinating key workstreams, projects and tasks within the Compliance team and across the business
  • 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 Deputy Head of Compliance 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.

FAQs

Do we support remote work?

No, this is an onsite role that requires you to work within our London office 5 days a week.

What are the primary responsibilities of the Compliance Manager?

The Compliance Manager is responsible for delivering an effective compliance advisory function, managing a junior team member, providing regulatory advice, acting as the Compliance lead for key projects, and promoting a good compliance culture within the team and the business.

What experience is required for this position?

Candidates should have experience working in a Compliance advisory function with an applicable regulatory framework, as well as the ability to manage compliance projects and liaise with a range of stakeholders.

What skills are essential for the Compliance Manager role?

Essential skills include strong communication skills, analytical skills, ability to interpret regulatory publications, organizational skills, and a proactive approach to process improvements.

Will the Compliance Manager be involved in product launches?

Yes, the Compliance Manager will act as the Compliance lead for new product launches from a regulatory advisory perspective.

Is there a requirement for reporting in this role?

Yes, the Compliance Manager will be responsible for producing Management Information (MI) and reports.

What is the approach to employee development within this role?

The Compliance Manager is expected to maintain personal and professional development to meet changing demands, including relevant regulatory and legislative training.

How does this role ensure compliance with the firm’s obligations?

The Compliance Manager provides daily regulatory advice, promotes a good compliance culture, and collaborates with other compliance colleagues to ensure that commercial enterprises are conducted in accordance with regulatory obligations.

Does the role involve management responsibilities?

Yes, the Compliance Manager will have line management responsibilities for a junior team member, the Compliance Analyst.

What kind of work environment can be expected in this role?

The work environment will be collaborative, requiring effective relationships with key stakeholders across the CMC Group, and will involve proactive liaison with various business areas.

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CMC Markets

Realise your potential

Finance
Industry
501-1000
Employees
1989
Founded Year

Mission & Purpose

CMC Markets is a global financial services provider specialising in online trading and investment. The company offers a wide range of financial products, including contracts for difference (CFDs), spread betting, and traditional share trading. CMC Markets' mission is to empower individuals to take control of their financial futures by providing them with innovative trading platforms, comprehensive market analysis, and access to a diverse range of global markets. Their purpose is to democratise financial markets and make trading accessible to all, regardless of their experience or location. CMC Markets aims to provide traders and investors with the tools and resources they need to make informed decisions and achieve their financial goals. With a strong commitment to technology, education, and customer support, CMC Markets strives to be a trusted partner in the financial industry.