Compliance Officer, CMC Markets
Monitoring
5 days a week in office (near Liverpool street)
Online trading platform
Be an early applicant
Online trading platform
1001+ employees
Be an early applicant
5 days a week in office (near Liverpool street)
1001+ employees
Company mission
To use the latest tech and tools to give our customers the very best trading experience.
Role
Who you are
- The role is ideal for someone looking to build practical, hands-on experience across compliance monitoring, testing, assurance, and reporting within a dynamic financial services environment
- Relevant experience within a regulatory compliance or compliance monitoring role (non-AML)
- Good understanding of FCA regulations including COBS, SYSC, CASS, and PRIN
- Strong Microsoft Excel, PowerPoint, and Word skills
- Experience working with internal and external auditors
- Ability to manage competing priorities and work effectively under pressure
- Strong attention to detail and willingness to learn
- Clear written and verbal communication skills
- Analytical mindset with strong problem-solving ability
- Excellent organisational skills and ability to manage tasks independently
What the job involves
- CMC Markets is looking for a Compliance Officer to join our Compliance team based onsite in our London office. This is a Second Line of Defence role supporting the delivery of CMC’s risk-based Compliance Monitoring Programme and wider compliance oversight activities
- You will support the planning and execution of targeted reviews, assess the effectiveness of key controls, identify areas for improvement, and help ensure findings are clearly documented and followed through to resolution
- Working closely with Compliance colleagues, business stakeholders, and other control functions, you will contribute to governance reporting, Management Information (MI), and the continuous enhancement of CMC’s compliance framework. The role also provides broad exposure to regulatory requirements, business processes, risk assessments, and thematic reviews
- Reporting to the Head of Compliance Monitoring and the Compliance Manager, you will support the Compliance function’s monitoring and risk assessment activities, assisting with risk-based reviews, identifying emerging risks and themes, supporting management reporting, and collaborating with stakeholders to drive effective remediation
- Support the execution and ongoing development of the Compliance Risk Assessment (CRA) and risk-based Compliance Monitoring Programme (CMP)
- Assist with monitoring, testing, and thematic reviews across onboarding, KYC, transaction monitoring, sanctions, complaints, outsourcing, and other compliance risks
- Conduct file reviews, sampling, data analysis, and assessments of control design and operating effectiveness
- Identify control gaps, trends, themes, and emerging risks, and support enhancements to the compliance framework
- Draft working papers, review reports, MI, and governance reporting for senior stakeholders and committees
- Track remediation actions and support follow-up testing to ensure issues are resolved
- Build strong working relationships across the business, Compliance, Risk, CASS, and other second-line teams
- Support internal and external audits, regulatory queries, and wider compliance activities
- Keep up to date with regulatory and business changes and update the CRA and CMP accordingly
- Maintain ongoing professional development and complete relevant regulatory training
- Undertake any other reasonable duties consistent with the level of the role
Salary benchmarks
Our take
CMC Markets is a global provider of online retail financial services. The company enables users to trade financial instruments through its award-winning next-generation trading platform, allowing them to access various tools such as technical analysis, price projection, and forums.
CMC Markets stands out through its business model - the company focusses on client service to maintain a high retention rate. The market confirms the success of its strategy, with a large percentage of its revenue generated by clients who have been with the company for more than 2 years. The company is also highly rated for its client satisfaction, and sets out to educate its audience through webinars, events, and online courses.
CMC Markets' focus appears to be on continuing to invest in new technologies and customer service, in order to support its expanding client base. For example the launch of the “Plus Plan” account for its stock trading platform, CMC Invest, means investors can open ISAs through CMC, adding more flexibility for users to make choices for their own investment journey.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
20% employee growth in 12 months
Company
Company benefits
- Pension: 9% = 5% company contribution and 4% self-contribution -CMC Markets will match up to 7%
- Life Assurance: 4 x salary
- Health Insurance provided through Vitality
- Income Protection
- Holiday: 25 days - per calendar year + additional day off for your birthday
- Breakfast provided for office days
- Discretionary Bonus
Company HQ
City of London, London, UK
Leadership
Lord Peter Cruddas
(CEO)Previously worked in the foreign currency trading department of various banks, including the Bank of Iran and Marine Midland.
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