Compliance Monitoring Analyst, CMC Markets
Office located in Liverpool Street, London
Online trading platform
Job no longer available
Online trading platform
1001+ employees
Job no longer available
Office located in Liverpool Street, London
1001+ employees
Company mission
To use the latest tech and tools to give our customers the very best trading experience.
Role
Who you are
- We are looking for someone with Financial Services Compliance experience that is looking to move into Monitoring role where you can train and develop
- Previous experience of a (non- AML) regulatory compliance/monitoring
- Knowledge and understanding of FCA 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
What the job involves
- Within this role you will be involved in supporting the Compliance function’s monitoring and risk assessment pillar in ensuring that the firm meets its regulatory objectives, primarily in respect of 2nd line monitoring obligations
- 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
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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