Compliance Officer

About the role

CMC Markets is seeking an experienced Compliance Officer to join its UK Compliance team. This second‑line of defence position will support the delivery of an effective compliance function across the firm’s regulated activities, providing practical regulatory advice and helping to manage key compliance risks.

Key responsibilities

• Provide day‑to‑day regulatory advice to business units, ensuring activities align with CMC Markets’ obligations.
• Support the development and delivery of the Compliance Risk Assessment and risk‑based monitoring programme.
• Conduct monitoring, testing and thematic reviews, including file reviews, sampling, data analysis and control effectiveness assessments.
• Act as the compliance stakeholder or lead for commercial, regulatory change and new product initiatives, liaising with stakeholders and escalating issues.
• Assist with responses to regulatory, audit, counter‑party and third‑party information requests.
• Prepare working papers, policies, review reports, management information and governance reporting for senior stakeholders and committees.
• Track remediation actions and ensure timely resolution of identified issues.

Required profile

• Proven experience in a compliance or regulatory role within a financial services environment.
• Strong analytical mindset with the ability to identify trends, control gaps and improvement opportunities.
• Excellent stakeholder management skills and the ability to provide constructive challenge.
• Ability to work independently while collaborating across compliance, business and support functions.
• Commitment to working onsite in the London office five days a week.

Required skills