Job Description
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
More detail on the Group can be found on https://www.cmcmarketsplc.com/
Compliance & AFC Manager GmbH
CMC Markets GmbH requires a suitably qualified Compliance (Senior) Analyst / Manager who will support the European Compliance & Anti Financial Crime function in our Frankfurt office.
- Assist in the continued development of documentation, including policies, procedures and frameworks in line with the changing regulatory environment;
- Assisting in preparing responses to regulatory queries/requests and consultation papers as they apply;
- Involvement in regulatory audits, organization, coordination and remediation activities;
- Reviewing and approving financial promotions, communications with clients and all other client facing documentation (marketing material, websites, videos etc.) which could impact local clients in accordance with the relevant regulatory and GmbH policies;
- Ensure compliance with personal account trading and outside business interest requirements;
- Regular and ad hoc management reporting, coordination of the annual Compliance & AFC Report
- Design and deliver any required bespoke compliance training to staff, focusing on key aspects of the business and current regulatory issues for the GmbH; organisation and administration, tracking / follow-up of training completion;
- Carry out, support and deputize other members of the European Compliance department, including but not exclusively compliance training, maintenance of registers, reporting of breaches etc.;
- Support the customer complaint handling process, supporting senior management and other employees to ensure all queries are dealt with;
- Dealing with day-to-day requests from the business or other departments within the Group;
- Performance of Monitoring's and reviews (e.g. Market Abuse Monitoring's, Client Classifications etc.)
- Performance of second-level-controls as defined in the Control Plan;
- 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.
- 3 years experience gained in a Compliance (and/or AFC) role within the area of Capital Markets- and Securities Compliance of a financial services institution - ideally in an international brokerage & trading firm
- Knowledge of European regulatory requirements
- An Economic or Legal background is preferred
- Fluency in English and German; other European languages are a plus