Compliance and Risk Manager
vor 4 Wochen
CMC Markets is a leading global provider of online trading and investing, with a comprehensive retail, professional and institutional offering.
We are seeking a suitably qualified Compliance Manager who will support the European Compliance & Anti Financial Crime function in our Frankfurt office.
Key Responsibilities:- Assist in the development of documentation, including policies, procedures and frameworks in line with the changing regulatory environment;
- Prepare responses to regulatory queries/requests and consultation papers as they apply;
- Participate in regulatory audits, organization, coordination and remediation activities;
- Review and approve 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;
- Provide regular and ad-hoc management reporting, coordination of the annual Compliance & AFC Report;
- Design and deliver 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;
- Support the customer complaint handling process, supporting senior management and other employees to ensure all queries are dealt with;
- Deal with day-to-day requests from the business or other departments within the Group;
- Perform Monitoring and reviews (e.g. Market Abuse Monitoring, Client Classifications etc.)
- Perform 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
- 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
- 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
- Eligible for Company Bonus (discretionary and dependant on Group + personal performance)
- Pension with BVV (depending on contribution selected, CMC will contribute either 3, 3.5 or 4% and employees contribute either 1, 1.5 or 2%)
- Share incentive plan (Phantom Share Scheme up to 2k)
- Life insurance (2 x Salary via Zurich Global Policy)
- Business travel insurance (Penn underwriting policy)
- Food/drinks in the kitchen (coffee/ breakfast etc.)
- 2 x annual staff parties (Summer/Winter)
- Team dinners
- Learning opportunities / training and study support
- Employee referral scheme
- Employee Recognition / Long Service Awards
- Birthday Leave (1 day per annum)
- Volunteering/ Charity Leave (1 day per annum)
- Amazon vouchers for birthday (25 Euros)
CRWL1_DE
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