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Form of workWe have an exciting opportunity for an experienced Compliance Monitoring Officer to join us in the London office. This role is ideal if you are seeking an opportunity to add value and expertise to the team, working in a dynamic function with experienced colleagues and managers.
Reporting into a Senior Compliance Manager, the Compliance Monitoring Officer will be instrumental in supporting the Compliance function’s monitoring and risk assessment pillar - ensuring that the firm meets its regulatory objectives, primarily in respect of 2nd line monitoring obligations.
***Please note, this role is based onsite (5 days a week) in our Liverpool Street offices.***
Key Responsibilities:
- Assisting with the design and execution of the Compliance Risk Assessment (CRA) and Compliance Monitoring Programme (CMP)
- Identify 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
- Assist in the design and implementation of thematic reviews; and will assist in ensuring the CMP is designed and 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.
- Keeping up to date with regulatory changes and business changes, and update the CRA and CMP in line with new/amended requirements.
Key Skills:
- Experience in a (non-AML) regulatory compliance 2nd line monitoring role is essential,
- Good knowledge and understanding of FCA rules and other legislation (i.e. COBS, CASS, PROD and SYSC)
- The Compliance Monitoring Officer will be analytical and inquisitive nature, with 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.
Benefits:
- Life Assurance: 4 x salary
- Health Insurance provided through Vitality.
- Discretionary Bonus
- Pension
- Income Protection
- Holiday: 25 days - per calendar year + additional day off for your birthday
- Breakfast provided daily in office.
CMC Markets is powered by our people. We are an equal opportunities employer and are committed to creating a diverse and inclusive workplace, where our people feel confident to be themselves, feel valued and are able to do their best work. We don’t just value differences and unique perspectives, we seek them out and we invite them in, because we know it will lead to better outcomes for everyone
