Compliance and Risk Management Specialist

vor 2 Wochen

Frankfurt am Main, Hessen, Deutschland CMC Markets Vollzeit
Job Title: Compliance & AFC Manager

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 critical role in ensuring the company's compliance with regulatory requirements and maintaining a strong risk management culture.

Key Responsibilities:
  • Develop and maintain comprehensive documentation, including policies, procedures, and frameworks, to ensure compliance with changing regulatory environments.
  • Assist in preparing responses to regulatory queries and consultation papers, ensuring timely and accurate submissions.
  • Participate in regulatory audits, organization, coordination, and remediation activities to ensure compliance and minimize risk.
  • Review and approve financial promotions, client-facing documentation, and marketing materials to ensure compliance with regulatory and company policies.
  • Ensure personal account trading and outside business interest requirements are met, maintaining a high level of integrity and transparency.
  • Provide regular and ad-hoc management reporting, coordinating the annual Compliance & AFC Report to ensure stakeholders are informed.
  • Design and deliver compliance training to staff, focusing on key aspects of the business and current regulatory issues.
  • Support the customer complaint handling process, ensuring all queries are dealt with efficiently and effectively.
  • Perform monitoring and reviews, including Market Abuse Monitorings and Client Classifications, to identify and mitigate potential risks.
  • Maintain personal and professional development to meet the changing demands of the role, including relevant regulatory and legislative training.
  • Ensure a clear, fair, and consistent high-quality service is provided to customers, clients, and colleagues, presenting a professional and positive image of CMC Markets.
  • Take all reasonable steps to ensure confidentiality and maintain a secure work environment.
Requirements:
  • 3 years of experience in a Compliance (and/or AFC) role within Capital Markets and Securities Compliance, ideally in an international brokerage and trading firm.
  • Knowledge of European regulatory requirements and a strong understanding of the financial services industry.
  • An Economic or Legal background is preferred, with fluency in English and German; other European languages are a plus.

At CMC Markets, we value diversity and inclusion, creating a workplace where our people feel confident to be themselves, feel valued, and are able to do their best work. We invite you to join our team and contribute to our mission of providing a high-quality service to our customers and clients.

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