Compliance Officer

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.