Key Responsibilities

Assist in delivery of an effective compliance advisory function within CMC Markets’ UK regulated FirmsProviding daily regulatory advice to the business to ensure that commercial enterprises are conducted wholly in accordance with CMC’s regulatory obligationsActing as Compliance lead and/ or Compliance stakeholder for key commercial and regulatory change projectsProactive 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 perspectiveAssisting in coordinating key workstreams, projects and tasks (regular and ad hoc) within the Compliance team and across the businessAssisting in the day to day management of the Compliance Advisory InboxDevelop good working relationships with key stakeholders across the CMC GroupPromotion of a good compliance culture within the Compliance team and across the business, including the continual embedment of the firms’ Consumer Duty obligationsAssisting with Group initiatives and collaborations with wider Group Compliance colleaguesProduction of MI and reportsAssist the Deputy Head of Compliance in the day-to-day management of the Compliance Advisory teamWork closely with the wider Compliance team (who focus on monitoring, training and policy) to ensure a joined-up approach across the UK Compliance teamProactively suggest enhancements to improve the efficiency and effectiveness of the UK Compliance FrameworkAssist with third party queries and requests for information including those from regulators, auditors and counterpartiesMaintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative trainingWhen 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 MarketsTake all reasonable steps to ensure appropriate confidentialityUndertake 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 frameworkExperience of delivery of compliance projects and being compliance point of contact for business projects and workstreamsGood, broad understanding of key aspects of the UK regulatory framework applicable to CMC’s business modelGood knowledge of the products offered by CMCProactive in taking ownership of tasksAble to liaise and build effective working relationships with a range of stakeholders of all levels of seniorityCompetent in researching regulatory requirements and relating meaningful interpretations and feedback to Compliance colleagues and business stakeholdersAbility to interpret regulatory publications and assess impact upon CMCAble to communicate effectively to all levels of the businessExcellent report writing and analytical skillsCan give direction to others to produce high quality work both independently and as part of a teamProactive in suggesting and implementing process improvements where requiredOrganised and self-motivated working styleAnalytical approach with attention to detailStrong communication skills, written and verbalAble to respond and adapt positively to changing and competing prioritiesStrong team player with ability to self-manage as and when requiredCMC 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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