Job Description
CMC Markets is looking for a Compliance Officer to join our Compliance team based onsite in our London office. This is a Second Line of Defence role supporting the delivery of CMC’s risk-based Compliance Monitoring Programme and wider compliance oversight activities.
The role is ideal for someone looking to build practical, hands-on experience across compliance monitoring, testing, assurance, and reporting within a dynamic financial services environment. You will support the planning and execution of targeted reviews, assess the effectiveness of key controls, identify areas for improvement, and help ensure findings are clearly documented and followed through to resolution.
Working closely with Compliance colleagues, business stakeholders, and other control functions, you will contribute to governance reporting, Management Information (MI), and the continuous enhancement of CMC’s compliance framework. The role also provides broad exposure to regulatory requirements, business processes, risk assessments, and thematic reviews.
Reporting to the Head of Compliance Monitoring and the Compliance Manager, you will support the Compliance function’s monitoring and risk assessment activities, assisting with risk-based reviews, identifying emerging risks and themes, supporting management reporting, and collaborating with stakeholders to drive effective remediation.
Please note that this is an onsite role that will require you to work within our London office (near Liverpool street) 5 days on site per week.
Key Responsibilities
Support the execution and ongoing development of the Compliance Risk Assessment (CRA) and risk-based Compliance Monitoring Programme (CMP)
Assist with monitoring, testing, and thematic reviews across onboarding, KYC, transaction monitoring, sanctions, complaints, outsourcing, and other compliance risks
Conduct file reviews, sampling, data analysis, and assessments of control design and operating effectiveness
Identify control gaps, trends, themes, and emerging risks, and support enhancements to the compliance framework
Draft working papers, review reports, MI, and governance reporting for senior stakeholders and committees
Track remediation actions and support follow-up testing to ensure issues are resolved
Build strong working relationships across the business, Compliance, Risk, CASS, and other second-line teams
Support internal and external audits, regulatory queries, and wider compliance activities
Keep up to date with regulatory and business changes and update the CRA and CMP accordingly
Maintain ongoing professional development and complete relevant regulatory training
Undertake any other reasonable duties consistent with the level of the role
Key Skills & Experience
Relevant experience within a regulatory compliance or compliance monitoring role (non-AML)
Good understanding of FCA regulations including COBS, SYSC, CASS, and PRIN
Strong Microsoft Excel, PowerPoint, and Word skills
Experience working with internal and external auditors
Ability to manage competing priorities and work effectively under pressure
Strong attention to detail and willingness to learn
Clear written and verbal communication skills
Analytical mindset with strong problem-solving ability
Excellent organisational skills and ability to manage tasks independently
CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified 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.