Senior Compliance Manager

Die CMC Markets GmbH sucht einen qualifizierten Senior Compliance Manager mit Erfahrung in Compliance im Bereich Wertpapiere/Derivate/Kapitalmärkte sowie MAComp und MARisk zur Unterstützung der europäischen Compliance & Anti Financial Crime Funktion in unserer Frankfurter Gesellschaft.

Seit der Gründung im Jahr 1989 hat sich CMC Markets zu einem der weltweit führenden Online-Finanzhandelsunternehmen entwickelt. CMC ist an den Londoner Börsen notiert und betreut Privatkunden und institutionelle Kunden über regulierte Büros und Niederlassungen in 14 Ländern.

CMC bietet eine preisgekrönte Online- und mobile Handelsplattform, die es Kunden ermöglicht, bis zu 10.000 Finanzinstrumente über Aktien, Indizes, Fremdwährungen, Rohstoffe und Staatsanleihen hinweg über Differenzkontrakte zu handeln.

*Bitte beachten Sie: Um in dieser Rolle erfolgreich zu sein, müssen Sie sowohl Englisch als auch Deutsch sprechen*

CMC Markets GmbH is looking for a qualified Senior Compliance Manager with experience in compliance in the area of securities/derivatives/capital markets as well as MAComp and MARisk to support the European Compliance & Anti Financial Crime function in our Frankfurt company.

Since launching in 1989, CMC Markets has become one of the world's leading online financial trading businesses. CMC is listed on the London Stock Exchanges and serves retail and institutional clients through regulated offices and branches in 14 countries.

CMC offers an award winning online and mobile trading platform, enabling clients to trade up to 10,000 financial instruments across shares, indices, foreign currencies, commodities and treasuries through contracts for difference.

*Please note: to be successful in this role, you will be required to speak both English and German*

Role and Responsibilities

• Support the European Compliance & AFC Team, ensuring there is a robust and proportionate systems and controls framework in place to manage regulatory risk, including in relation to the prevention of financial crime
• Keep abreast of regulatory developments in Europe, in particular Germany. Assess applicability, propose and project manage solutions through to implementation in a timely manner
• Ensure the continued development of documentation, including policies, procedures and frameworks in line with the changing regulatory environment
• Manage project work dependent on thematic regulatory topics, business projects or BAU
• Cultivate a strong relationship with regulators and auditors, managing interaction and dialogue
• Respond to regulatory queries/requests and consultation papers as they apply
• Maintain strong working relationships with key departments across the Group
• Work with the business units to develop a good understanding of their strategy, services and products
• Manage regulatory audits and address regulatory findings
• Execute and continue to enhance the monitoring programme, identifying findings and developing solutions to resolve them
• Maintain adequate oversight and ensure regulatory reporting obligations are fulfilled
• Provide advice/guidance to the business on key areas of Compliance and Anti Financial Crime
• Liaise when necessary with external parties including industry bodies
• Escalate any findings, concerns, issues and manage through to resolution
• Design and deliver any required bespoke compliance training to staff, focusing on key aspects of the business and current regulatory issues
• 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
• Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training
• Provide sufficient management information in order to allow the board and management visibility of Compliance and Financial Crime
• Ensure that employees are made aware of and understand their regulatory responsibilities
• Undertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the role’s general level of responsibility
• When dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high- quality service that presents a professional and positive image of CMC Markets.

Skills and Experience

• Deep knowledge of EU regulatory environments, associated laws and industry standards, including investment & capital markets compliance regulations, market abuse, conflicts of interest, conduct rules and anti-money laundering.
• Proven success in designing and implementing effective Compliance Programs in the financial services industry
• Proven success in developing strategy and turning it into tangible action plans.
• Proficient verbal and written communication skills (in German and English, other European languages would be a plus) with individuals and groups at all levels of an organization, in all settings.
• Experience presenting to and advising senior leadership; capable of producing leadership-level presentations and reports
• Good communication skills with the ability to motivate others
• Problem-solving and decision-making skills, with the ability to analyse complex information to identify the key issue/action and drive resolution

CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.