We are currently looking for an experience professional to lead the Compliance function within our Warsaw, Poland office.

Within this role you will be responsible for:

• Checking and approving financial promotions, website content and information, policies (including translating where necessary) for the branch,
• Monitoring of telephone calls, chats, Personal Account Dealings, complaints, and local regulatory changes
• Liaising with regulators where applicable, responding to regulatory queries/requests and consultation papers as they apply
• Reporting to Polish authorities by ESPI and Portal systems

Key Responsibilities:

• Review regulatory development across Europe and in Poland specifically. 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,
• Cultivate a strong relationship with regulators, managing interaction and dialogue,
• 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 for the Polish Branch, coordinate remediation activities,
• Provide a strong lead in the proactive support of the risk process within the Polish Branch 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 and AMLCTF training to staff, focusing on key aspects of the business and current regulatory issues for the Polish Branch,
• Provide guidance and support to other members of the Compliance team and to the business on key areas of Compliance & AFC,
• Escalate any findings, concerns, issues and manage through to resolution,
• As Nominated Officer, perform all tasks defined in Group AMLCTF Policy, Compliance and Financial Crime Manual for CMC Markets Germany GmbH and AMLCTF Policy of CMC Markets Germany GmbH Polish Branch, including continuous monitoring of the effectiveness of controls, ensuring framework remains operationally effective as the business evolves, act as central contact person for all Financial Crime queries and issues, ensure that AFC policies and procedures are up to date and meet regulatory requirements, provision of adequate training,
• 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 Skills & Experience
 

• Good relevant experience gained in a Compliance role within the area of Capital Markets and Securities Compliance of a financial services institution - ideally in an international brokerage & trading firm.
• Knowledge of European regulatory requirements.
• An Economic or Legal background is preferred.
• Fluency in English and German; other European languages are a plus.

CMC Markets is powered by our people. We are an equal opportunities employer and are committed to creating a diverse and inclusive workplace, where our people feel confident to be themselves, feel valued and are able to do their best work. We don’t just value differences and unique perspectives, we seek them out and we invite them in, because we know it will lead to better outcomes for everyone.