Compliance Officer

Job Description

Compliance OfficerROLE AND RESPONSIBILITIESReporting into a Senior Compliance Manager, the Compliance Officer position will involve supporting the Compliance function in ensuring that the firm meets its regulatory objectives. Key responsibilities are as follows:

• Keep abreast of regulatory developments. Assess applicability, assist with proposing and project manage solutions through to implementation in a timely manner
• Ensure the continued development of documentation, including policies, procedures and frameworks in line with the changing regulatory environment
• Manage project work dependent on thematic regulatory topics, business projects or BAU
• Contribute to and/or manage responses to regulatory queries/requests, consultation papers as they apply and regulatory audits. Assist with the resolution of findings
• The Compliance Officer will work with the business units to develop a good understanding of their strategy, services and products
• Execute and continue to enhance items as allocated from the monitoring programme, undertaking a gap analysis identifying findings and developing solutions to resolve them
• Work collaboratively with Compliance Managers in our European offices, sharing best practice and promoting open dialogue and communication
• The Compliance Officer will review/approve and oversee client categorisation, including elective professional client opt ups
• Maintain adequate oversight and ensure regulatory reporting obligations are fulfilled
• Contribute to on-going work to ensure that the principles of TCF are being met
• Provide advice/guidance to the business and oversight of the handling of key areas of Compliance, including but not limited to client money, financial promotions and product governance, and ensure that employees are made aware of and understand their regulatoryresponsibilities
• Liaise when necessary with external parties including industry bodies
• Escalate any findings, concerns, issues and manage through to resolution
• Design and deliver any required bespoke compliance training to staff, focusing on key aspects of the business and current regulatory issues
• The Compliance Officer will provide a strong lead in the proactive support of the risk process within the region to identify, assess, treat, report; monitor risks promoting a strong risk culture
• Assist with or manage, as appropriate, ad hoc business projects and implementing regulatory change projects
• Assist with providing sufficient management information in order to allow the board and management visibility of Compliance.

KEY SKILLS AND EXPERIENCE

• The Compliance Officer will demonstrate strong knowledge and understanding of FCA rules and other legislation (i.e. COBS, CASS, PROD and SYSC)
• Analytical and enquiring nature, ability to solve problems
• 3 years experience in a Compliance role
• 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.
• 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.

Keyskills :
Compliance MonitoringTCFFCA Rule BookThematic Performance Reviews