Functional and disciplinary management of the Compliance & Anti Financial Crime department for the European region (ex UK)

Management of the overall Compliance programme for CMC Markets Germany GmbH including its European branches, covering the areas of Markets and Corporate Compliance, AML Prevention, other criminal activities, anti-terrorist financing and embargoes and financial sanctions

Regulatory powers                 

Unrestricted access and examination right to all relevant data and information necessary to effectively perform the regulatory functions. The Officer is generally independent in the performance of his/her function and entitled to give instructions to employees and managers of CMC Markets Germany GmbH including its branches to the extent necessary to effectively execute his/her mandate.

Key tasks and responsibilities

• Review regulatory development across Europe and in Germany specifically. Assess applicability, propose and project manage solutions through to implementation
• Ensure the continued development of documentation, including policies, procedures and frameworks in line with the changing regulatory environment;
• Cultivate a strong relationship with regulators, managing interaction and dialogue
• Respond to regulatory queries/requests and consultation papers as they apply
• Representation of Compliance & Anti Financial Crime in internal and external committees and panels
• Maintain and promote communication and strong working relationships with key stakeholders, across CMC Markets Germany GmbH as well as Europe and UK / the Group
• Manage regulatory audits, coordinate remediation activities
• 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;
• Ensure monitoring programme and controls are fit for purpose and undertaken in a timely manner
• Design and deliver any required bespoke compliance training to staff, focusing on key aspects of the business and current regulatory issues for the GmbH;
• Provide guidance and support to other members of the Compliance team
• Provide advice/guidance to the business on key areas of Compliance & AFC
• Undertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general level of responsibility of this role
• Provide sufficient management information to local and Group management bodies
• Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training

Key competencies

• Managing customer service standards and performance
• Developing people and teams
• Leadership
• Decision making
• Business acumen
• Resilience and drive
• Communication and stakeholder management