Compliance Manager, CMC Markets
5 days a week in office (Liverpool Street, London)
Online trading platform
Be an early applicant
Online trading platform
1001+ employees
Be an early applicant
5 days a week in office (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
- Experience of working in a Compliance advisory function with an applicable regulatory framework
- Ability to, and experience of management and 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
- Strong communication skills, written and verbal
- Able to respond and adapt positively to changing and competing priorities
- Strong team player with ability to self-manage and manage others
What the job involves
- We have an exciting opportunity for a Compliance Manager to join our UK Compliance team
- Reporting into the Deputy Head of UK Compliance, your position will involve supporting the Compliance advisory function in ensuring that the firm meets its regulatory objectives
- Assist in delivery of an effective compliance advisory function within CMC Markets UK regulated Firms
- Line management of a junior team member (Compliance Analyst)
- 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 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 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 perspective
- Managing and coordinating key workstreams, projects and tasks within the Compliance team and across the business
- 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 Deputy Head of Compliance 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 requests for information including those from regulators, auditors and counterparties
- Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training
- When 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 Markets
- Take all reasonable steps to ensure appropriate confidentiality
- 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 aims to focus on client service in order to attract new clients and 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 on CFD, forex and share trading, frequently hosting 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 now 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
Few candidates hear
back within 2 weeks
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 values
- Put our clients first - Our business is built around our clients - we're proud to have long-lasting relationships by understanding and supporting them every step of the way.
- Lead with quality - Our commitment to quality is at the heart of our culture. Whatever we do, we do it properly. When faced with the choice, we always prioritise quality over quantity.
- Set the standards - We're clear, open and honest with our clients, and with each other. We don't wait for others, but set the standards for others to follow.
Company HQ
City of London, London, UK
Articles
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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