Compliance Analyst - United Kingdom - CMC Markets UK Plc

Description

We have an exciting opportunity for a Compliance Analyst to join our London team.

This is an ideal role for someone from an FS Ops background who is looking to make the move into Compliance.

Reporting into a Compliance Manager, your position will involve supporting the Compliance function 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 ROLE AND RESPONSIBILITIES:
Keep abreast of regulatory developments. Assess applicability, assist with proposing and project manage solutions through to implementation in a timely manner.

Assist with 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.
Work with the business units to develop a good understanding of their strategy, services and products.
Work collaboratively with Compliance colleagues sharing best practice and promoting open dialogue and communication.
Review/approve/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.

Assist with advice/guidance to the business and oversight of the handling of key areas of Compliance, including client money, financial promotions, and product governance etc., and ensure that employees are made aware of and understand their regulatory responsibilities.

Assist the department in maintaining adequate records.

Assist the Compliance Manager with bespoke compliance training to staff, focusing on key aspects of the business and current regulatory issues.

Assist in the support of the risk process within the region to identify, assess, treat, report; monitor risks promoting a strong risk culture.

Assist in maintaining the regulatory correspondence registerAssist 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.
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 MarketsTake 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 AND EXPERIENCE:
Some knowledge and understanding of the financial services industry.

Analytical and enquiring nature, ability to solve problemsUnderstanding some generalist Compliance skills including experience of performing thematic performance reviews, managing conflicts of interests, monitoring reviews etc is not essential but would be an advantageStrong 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.

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