Head of Compliance

vor 4 Wochen

Frankfurt, Deutschland CMC Markets Vollzeit

CMC Markets is a leading global provider of online trading and investing, with a comprehensive retail, professional and institutional offering.

CMC Markets are hiring a new Head of Compliance & Anti Financial Crime in Europe.

A truly fantastic opportunity for an experienced Head of Compliance to lead the functional and disciplinary management of the Compliance & Anti Financial Crime department for the European region (ex UK).

Within this role you will have management of the overall Compliance programme for CMC Markets Germany GmbH including its European branches, covering the areas of Markets and Corporate Compliance, AML Prevention, other criminal activities, anti-terrorist financing and embargoes and financial sanctions.


  • Review regulatory development across Europe and in Germany specifically. Assess applicability, propose and project manage solutions through to implementation.
  • Design and deliver any required bespoke compliance training to staff members. Ensure the continued development of documentation, including policies, procedures and frameworks in line with the changing regulatory environment.
  • Cultivate a strong relationship with regulators, managing interaction and dialogue.
  • Respond to regulatory queries/requests and consultation papers as they apply.
  • Representation of Compliance & Anti Financial Crime in internal and external committees and panels
  • Maintain and promote communication and strong working relationships with key stakeholders, across CMC Markets Germany GmbH as well as Europe and UK / the Group
  • Manage regulatory audits, coordinate remediation activities.
  • Provide a strong lead in the proactive support of the risk process within the region to identify, assess, treat, report; monitor risks promoting a strong risk culture.
  • Ensure risk assessment programs as well as monitoring and controls are suitable for purpose and undertaken in a timely manner
  • Focusing on key aspects of the business and current regulatory issues for the GmbH;
  • Provide guidance and support to other members of the Compliance team
  • Provide advice/guidance to the business on key areas of Compliance & AFC
  • 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
  • Provide sufficient management information to local and Group management bodies
  • Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training

  • Significant professional experience, especially in the capital market sector, is required to adequately fulfil the position
  • CCP – Certified Compliance Professional - Desirable.
  • Willingness to learn new regulatory regimes and show adaptability to local considerations
  • Professional language skills in English and German
  • Able to respond positively to changing priorities
  • Organised and self-motivated working style
  • Analytical approach with attention to detail
  • Strong communication skills, written and verbal
  • Ability to liaise with internal and external customers with tact and diplomacy

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