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Compliance Officer – Onsite Position (CMC Markets, London)
Location: CMC Markets London Office (near Liverpool Street) – 5 days onsite per week
Reporting To: Head of Compliance Monitoring & Compliance Manager
This is a Second Line of Defence role within CMC Markets’ Compliance team, supporting our risk-based Compliance Monitoring Programme and broader oversight activities.
About the Role
Ideal for candidates seeking hands-on experience in compliance monitoring, testing, assurance, and reporting within a fast-paced financial services environment.
You will play a crucial role in ensuring regulatory compliance and risk management by:
- Supporting targeted controls reviews
- Assessing control effectiveness
- Identifying areas for improvement
- Documenting findings and driving remediation
- Collaborating with business stakeholders, compliance, risk, and audit functions
The position also offers exposure to regulatory requirements, business processes, risk assessments, and thematic reviews.
Key Responsibilities
1. Compliance Monitoring & Programme Development
- Support the planning, execution, and continuous development of:
- Compliance Risk Assessment (CRA)
- Compliance Monitoring Programme (CMP)
- Assist with risk-based reviews, identifying emerging risks and themes
- Work with stakeholders to ensure effective remediation and follow-up testing
2. Control & Risk Assessment
- Conduct monitoring, testing, and thematic reviews across high-priority areas, including:
- Onboarding & KYC
- Transaction monitoring
- Sanctions screening
- Complaints handling
- Outsourcing arrangements
- Other compliance risks
- Perform file reviews, sampling, and data analysis
- Assess control design and operating effectiveness
- Highlight control gaps, trends, and themes for improvement
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3. Reporting & Assurance
- Draft working papers, review reports, Management Information (MI), and governance reports
- Provide insights for senior stakeholders and committees
- Track remediation actions and confirm resolutions through follow-up testing
4. Collaboration & Audit Support
- Engage with business teams, Compliance, Risk, CASS, and audit functions
- Support internal and external audits
- Assist with regulatory queries and compliance activities
- Stay updated on regulatory and business changes, updating CRA and CMP accordingly
5. Proactive Development & Training
- Maintain professional development by completing relevant regulatory training
- Uphold high standards of compliance culture and risk awareness
6. Other Reasonable Duties
- Contribute to tasks aligned with the role’s responsibility level
Key Skills & Experience
- Essential:
- Experience within a regulatory compliance or compliance monitoring role (non-AML)
- Strong understanding of FCA regulations, including:
- COBS (Consumer Protection Aspects)
- SYSC (System and Controls & Governance)
- CASS (Client Assets Sourcebook)
- PRIN (Approved Persons Regime)
- Technical skills:
- MS Excel (advanced), PowerPoint, and Word
- Proficiency in audit software/tools (if applicable)
- Ability to work with international and domestic auditors
- Excellent ability to balance competing priorities and perform under pressure
- Attention to detail and willingness to learn in a fast-paced environment
- Strong written and verbal communication
- Analytical mindset with problem-solving skills
- Organisation and self-management capabilities
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About CMC Markets
CMC Markets is pioneering fin-tech, founded in 1989 to democratise trading access and empower millions through:
- Next-Gen trading platforms
- Trading thousands of instruments
- Best-in-class charts, competitive pricing, and automated execution
- Supporting investors, banks, brokers, and funds
trusts globally for leverage & lookup liquidity solutions, helping businesses expand markets.
Recently listed on the FTSE250, CMC continues to grow through technology and talent investment.
Working with Us
- Diversity & Inclusivity: CMC Markets is an equal opportunities employer, committed to fair recruitment and representing:
- All genders
- Different sexual orientations
- Varied marital/civil partnership status
- Diverse ethnicities, religions, and nationalities
- All ability levels
- People of any age
- Dynamic Culture: Fast-paced, collaborative, and focused on innovation in financial trading.
Ready to apply? Join us to shape the future of trading compliance!
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