Compliance and Risk Management Specialist
vor 4 Wochen
Career Opportunity at CMC Markets
CMC Markets is seeking a highly skilled Compliance & AFC Manager to join our team in Frankfurt. As a key member of our European Compliance & Anti-Financial Crime function, you will play a vital role in ensuring our business operates within the boundaries of regulatory requirements.
Key Responsibilities:- Develop and maintain comprehensive documentation, including policies, procedures, and frameworks, to ensure compliance with evolving regulatory environments.
- Prepare and submit responses to regulatory queries, consultation papers, and other relevant documents.
- Participate in regulatory audits, organization, coordination, and remediation activities to ensure compliance.
- Review and approve financial promotions, client-facing documentation, and marketing materials to ensure adherence to regulatory and company policies.
- Ensure compliance with personal account trading and outside business interest requirements.
- Provide regular and ad-hoc management reporting, coordination of the annual Compliance & AFC Report.
- Design and deliver compliance training to staff, focusing on key aspects of the business and current regulatory issues.
- Support the customer complaint handling process and ensure all queries are dealt with efficiently.
- Perform monitoring and reviews, including Market Abuse Monitorings and Client Classifications.
- Maintain personal and professional development to meet the changing demands of the role.
- 3 years of experience in a Compliance (and/or AFC) role within Capital Markets- and Securities Compliance of a financial services institution.
- Knowledge of European regulatory requirements.
- An Economic or Legal background is preferred.
- Fluency in English and German; other European languages are a plus.
CMC Markets is an equal opportunities employer and is committed to creating a diverse and inclusive workplace. We value differences and unique perspectives, and we invite you to join our team if you share our values and are passionate about compliance and risk management.
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