We have an exciting opportunity for a Compliance Analyst to support the Conduct Policies Training in London.
Reporting into a Senior Compliance Manager, your position will involve supporting Pillar 3 of the Compliance function (focusing on Policy Governance, Culture and Training) in ensuring that the firm meets its regulatory objectives.
*** Please note that this is an onsite role and you will be required to be in the London office 5 days per week ***
Key Responsibilities:
* Work closely with HR stakeholders to manage and co-ordinate the implementation of the annual Compliance Training Program (CTP) and roll-out the CTP to all Staff. Collaborate with HR in scheduling training, managing attendance and ensuring the best possible adherence to the CTP.
* Assisting Compliance Monitoring Function (Pillar 1) design ’Staff’ questionnaire’s on topical regulatory topics to identify Staff training gaps and needs.
* Working with Compliance Advisory Function (Pillar 2) to create, design and deliver bespoke in-house trainings for employees focusing on key aspects of the business and current regulatory issues.
* Supporting the Senior Compliance Manager interpreting, reviewing and drafting clear effective policies, procedures and frameworks in accordance with applicable laws and regulations.
* Ensuring on-going monitoring and evaluation of the effectiveness of policies and procedures, liaising with other key stakeholders to ensure policies are kept up to date and aligned with the changing regulatory environment and company objectives.
* Communicating and providing advisory support and education to Staff on compliance with policies and procedures.
* Support the Senior Compliance Manager in pro-actively dealing with all administrative tasks. Represent the Senior Compliance Manager and attend meetings on their behalf if necessary.
* Support the Senior Compliance Manager in dealing with Staff Conduct related matters and manage the company’s Conflict of Interests register.
* Work collaboratively with Compliance Managers in our APAC, European and Dubai offices, sharing best practice and promoting open dialogue and communication.
* Keep abreast of regulatory developments. Assess applicability, assist with proposing and project manage solutions through to implementation in a timely manner.
* Contribute to on-going work to ensure that the principles of treating client fairly (TCF) and Consumer Duty are adhered to.
* Assist the department in maintaining adequate records.
* Liaise, when necessary, with external parties including industry bodies, lawyers or third-party vendors.
* Escalate any findings, concerns, issues and manage through to resolution.
* Assist with or manage, as appropriate, ad hoc business projects and implementing regulatory change projects.
* Assist with providing sufficient management information to allow the board and management visibility of the firm’s compliance.
* 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
Key Skills & Experience:
* Knowledge and understanding of FCA rules and other legislation (i.e. COBS, CASS, PROD and SYSC)
* Analytical and enquiring nature, ability to solve problems
* Previous 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.