CMC Markets
Financial Services
ComplianceAdvisoryOfficer
Neural analysis suggests this role is
optimal for Mid+ candidates.
“Compliance Advisory Officer at CMC Markets. Skills: Compliance advisory, Regulatory advice, Regulatory framework. Assist in delivery of compliance advisory function. Provide daily regulatory advice”
Industry & Context.
Researching regulatory requirements; Relating interpretations; Assessing impact
What They're Looking For.
Must Have
Experience in Compliance advisory, Experience with regulatory framework, Experience with compliance projects, Experience as compliance point of contact, Understanding of UK regulatory framework, Knowledge of CMC products, Ability to interpret regulatory publications, Ability to assess regulatory impact, Ability to communicate effectively, Report writing skills, Analytical skills, Ability to give direction, Organised working style, Self-motivated working style, Analytical approach, Attention to detail, Written communication skills, Verbal communication skills, Ability to adapt positively, Ability to self-manage
Nice to Have
Experience in a Compliance advisory function with an applicable regulatory framework, Experience of 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, communication skills, written and verbal, Able to respond and adapt positively to changing and competing priorities, team player with ability to self-manage as and when required
What You'll Do.
Assist in delivery of compliance advisory function
Provide daily regulatory advice
Act as Compliance lead for projects
Act as Compliance stakeholder for projects
Liaise with project stakeholders
Report progress to Head of Compliance Advisory
Escalate issues to Head of Compliance Advisory
Escalate issues to Chief Compliance Officer
Be a key stakeholder for new product launches
Coordinate workstreams within Compliance team
Coordinate projects within Compliance team
Coordinate tasks within Compliance team
Coordinate workstreams across business
Coordinate projects across business
Coordinate tasks across business
Assist in day to day management of Inbox
Develop working relationships with stakeholders
Promote compliance culture
Embed Consumer Duty obligations
Assist with Group initiatives
Collaborate with Group Compliance colleagues
Assist Head of Compliance Advisory in management
Work closely with wider Compliance team
Ensure joined-up approach across Compliance team
Suggest enhancements to Compliance Framework
Assist with third party queries
Assist with requests for information
Maintain personal development
Meet changing demands of role
Undertake other duties
Provide clear service to customers
Provide fair service to customers
Provide consistent service to customers
Provide high-quality service to customers
Present professional image of CMC Markets
Present positive image of CMC Markets
Ensure appropriate confidentiality
Undertake other duties as required
Undertake training as required
Undertake hours of work as required
How You'll Work.
Team & Collaboration
Working cooperatively; Wider Compliance team; Group Compliance colleagues
Communication Scope
Written communication; Verbal communication; Report writing
Process & Methodology
Project management
Full Job Description
We have an exciting opportunity for a Compliance Officer to join our UK Compliance team. Reporting into the Head of Compliance Advisory, your position will involve supporting the Compliance Advisory function in ensuring that the firm meets its regulatory objectives. **Key responsibilities** * Assist in delivery of an effective compliance advisory function within CMC Markets’ UK regulated Firms * 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 and/ or Compliance stakeholder 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 Head of Compliance Advisory and the Chief Compliance Officer. * Being a key stakeholder/ Compliance lead for new product launches from a regulatory advisory perspective * Assisting in coordinating key workstreams, projects and tasks (regular and ad hoc) within the Compliance team and across the business * Assisting in the day to day management of the Compliance Advisory Inbox * 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 Head of Compliance Advisory 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 request
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