Since launching in 1989, CMC Markets (CMC) has become one of the world's leading online financial trading businesses. CMC is listed on the London Stock Exchanges and serves retail and institutional clients through regulated offices and branches in 13 countries.
CMC offers an award winning online and mobile trading platform, enabling clients to trade up to 10,000 financial instruments across shares, indices, foreign currencies, commodities and treasuries through contracts for difference. In Australia, the Group also offers stockbroking services.
CMC is committed to recruiting, developing, retaining and motivating exceptional people who are talented, innovative and focussed on delivering excellence. We acknowledge that this goes hand in hand with the Group’s ongoing and future success. This is achieved through embedding the Group’s values throughout the workforce as well as offering competitive rewards and benefits.
The Group values centre on quality, clients and integrity.
- Put clients first
- Lead with quality
- Set the standards
ROLE AND RESPONSIBILITIES
Reporting into a Senior Compliance Manager, your position will involve 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. Key responsibilities are as follows:
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Assisting with the execution of the Compliance Risk Assessment (CRA) and Compliance Monitoring Programme (CMP)
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Conduct trends analysis and identify themes and emerging patterns in monitoring results
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Support the existing team with co-ordinating ongoing compliance projects and thematic reviews
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Provide support in creating reports that detail findings to update management.
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Conducting investigations and reviews of compliance issues and making recommendations for corrective action.
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Enhance where possible existing monthly/quarterly Compliance monitoring and testing
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Participate in various meetings with front office teams across the firm
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Keeping up to date with regulatory changes and business changes and update the CRA and CMP in line with new/ amended requirements
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Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training
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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
KEY SKILLS AND EXPERIENCE
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Regulatory knowledge and understanding of the financial services industry.
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Proven proficiency in Excel and strong analytical capabilities.
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Excellent communication skills for effective information exchange with team members and management.
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Ability to work well collaboratively with others in a team setting.
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Some experience in compliance within a regulatory environment is preferred.
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Analytical and enquiring nature, ability to solve problems
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Excellent organisational skills, ability to manage competing priorities and tight deadlines
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Strong communications skills - verbal and written; with ability to communicate effectively across the business.
CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age
