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Interim Compliance Controls Officer

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CMC Markets

20d ago

  • Job
    Full-time
    Mid & Senior Level
  • London
  • Quick Apply

AI generated summary

  • You need regulatory compliance experience, knowledge of COBS, CASS, PROD, SYSC, strong analytical and organizational skills, generalist compliance skills, and effective communication abilities.
  • You will execute compliance assessments and monitoring, identify enhancements, analyze trends, develop stakeholder relationships, and keep updated with regulatory changes while collaborating with teams.

Requirements

  • Experience of a (non- AML) regulatory compliance/monitoring
  • Good knowledge and understanding of rules and other legislation (i.e. COBS, CASS, PROD and SYSC)
  • Analytical and enquiring nature, ability to solve problems
  • Excellent organisational skills, ability to manage competing priorities and tight deadlines
  • Generalist Compliance skills including experience of performing thematic performance reviews, managing conflicts of interests, monitoring reviews etc
  • Strong communications skills - verbal and written; with ability to communicate effectively across the business.

Responsibilities

  • Assisting with the execution of the Compliance Risk Assessment (CRA) and Compliance Monitoring Programme (CMP)
  • Identifying deficiencies and proposing enhancements to internal compliance framework through monitoring activities
  • Provision of comprehensive, quality Management Information to Compliance colleagues and senior stakeholders within the business
  • Conduct trends analysis and identify themes and emerging patterns in monitoring results
  • Develop relationships with the business and support departments to enhance the quality and content of available Management Information
  • Liaison with relevant stakeholders to address allocated action points
  • Assist in the implementation of thematic reviews
  • Assist in ensuring the CMP is implemented on a risk-based approach
  • Work collaboratively with Compliance Managers in our Global offices, sharing best practice and promoting open dialogue and communication
  • Collaborate with Compliance colleagues to ensure the CRA and CMP and its findings are factored into wider compliance work
  • Liaise with other 2nd line stakeholders e.g., Risk, CASS to further enhance CMC’s Compliance Risk framework.
  • Ensure to keep up to date with regulatory changes and business changes and update the CRA and CMP in line with new/ amended requirements
  • Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training
  • 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

What is the primary focus of the Interim Compliance Controls Officer role?

The primary focus of the role is to support the Compliance function’s monitoring and risk assessment pillar to ensure the firm meets its regulatory objectives, particularly regarding 2nd line monitoring obligations.

What kind of experience is required for this position?

Experience in regulatory compliance or monitoring (non-AML) is required, along with a good understanding of relevant rules and legislation such as COBS, CASS, PROD, and SYSC.

What key skills are necessary for applicants?

Applicants should possess analytical and problem-solving skills, excellent organizational abilities, generalist compliance skills, and strong verbal and written communication skills.

Will the Interim Compliance Controls Officer be required to engage with other departments?

Yes, the role involves developing relationships with various business areas and collaborating with Compliance Managers across global offices.

What kind of training or professional development is expected in this role?

The officer is expected to maintain personal/professional development, including completion of relevant regulatory and legislative training to meet the changing demands of the role.

What kind of approach is expected for the Compliance Monitoring Programme (CMP)?

The CMP is expected to be implemented on a risk-based approach, prioritizing areas of higher compliance risk.

Will I need to work with senior stakeholders in the business?

Yes, the role includes providing comprehensive, quality Management Information to Compliance colleagues and senior stakeholders.

Is there an expectation to keep up with regulatory changes?

Yes, it is essential to stay updated with regulatory and business changes to ensure the CRA and CMP are aligned with new or amended requirements.

Can I apply for this position if I come from a non-financial background?

While candidates with a background in regulatory compliance are preferred, relevant skills and experiences in similar roles may be considered.

What are the working hours for the Interim Compliance Controls Officer position?

The role may require flexible working hours and undertaking additional duties as necessary, consistent with the general responsibilities of the role.

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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.