POSITION DESCRIPTION

Position Title: Compliance Officer

Department: Compliance & Operational Risk

Reporting to: Head of Compliance & Operational Risk – North America

Reviewed: November 2025

Company Overview

Since launching in 1989, CMC Markets (CMC) has become one of the world's leading online financial trading businesses. Listed on the London Stock Exchange, CMC serves retail and institutional clients across 14 countries through its regulated entities.

CMC Markets Bermuda Ltd. (“CMC Bermuda”) operates under the oversight of the Bermuda Monetary Authority (BMA) and supports CMC’s global mission to provide clients with access to thousands of financial instruments through its award-winning trading platform.

CMC is committed to recruiting and developing exceptional talent, maintaining the highest ethical and professional standards, and embedding the Group’s core values:

• Put clients first
• Lead with quality
• Set the standards

For more on CMC, visit https://www.cmcmarkets.com/group

Role Summary

The Compliance Officer, Bermuda is responsible for assisting the Chief Compliance Officer (CCO) in managing the compliance and operational risk functions of CMC Markets Bermuda Ltd. and CMC Markets Canada Inc.

This role supports the establishment, implementation, and maintenance of compliance and risk frameworks that satisfy both Bermuda Monetary Authority (BMA) and Canadian regulatory requirements (including CIRO, OSC, and AMF).

The position focuses on ensuring that CMC Bermuda’s operations and client services comply with all applicable legislation, licensing conditions, and prudential standards, while also providing cross-border compliance support to CMC Canada.

Key Responsibilities

• Regulatory Compliance (Bermuda focus)

• Assist the CCO in developing, implementing, and maintaining compliance policies and procedures in line with BMA rules, Proceeds of Crime (Anti-Money Laundering and Anti-Terrorist Financing) Regulations, and other relevant Bermuda legislation.
• Maintain the Compliance Monitoring Program (CMP) and report outcomes to senior management and the Board of CMC Bermuda.
• Coordinate with the BMA on regulatory filings, inspections, and inquiries, including annual compliance attestations, AML/ATF reports, and license renewals.
• Oversee the firm’s AML/ATF compliance program, including customer due diligence, suspicious activity reporting, and internal training.
• Support periodic internal and external audits and regulatory reviews.
• Review and approve marketing and client communications to ensure compliance with BMA conduct standards.
• Monitor legislative and regulatory changes issued by the BMA and other Bermuda authorities, assess their impact, and update internal procedures accordingly.

• Canadian Regulatory Support

• Provide compliance oversight assistance for CMC Markets Canada Inc., including support on CIRO, OSC, and AMF obligations.
• Assist with registration submissions, regulatory reporting, and board reporting for CMC Canada.
• Support the CCO in implementing CMC Canada’s Anti-Money Laundering and Operational Risk programs.
• Help prepare and deliver compliance reports for the CMC Canada Board and relevant committees.
• Support the handling and resolution of client complaints in accordance with Canadian regulatory requirements.

• Operational Risk Management

• Ensure operational risks are identified, assessed, mitigated, and reported in accordance with Group standards.
• Log incidents, breaches, and control failures in CMC’s operational risk system and ensure timely remediation.
• Promote a proactive risk culture across both Bermuda and Canada offices.

• Training & Awareness

• Deliver compliance and AML/ATF training to CMC Bermuda staff and assist with Canadian compliance training initiatives.
• Provide advice and guidance to staff on BMA and CIRO/OSC/AMF rules, as applicable.

Key Skills and Experience

• Minimum 2–3 years’ experience in a compliance, legal, or regulatory role, preferably within a financial services or investment firm.
• Strong understanding of Bermuda Monetary Authority regulatory framework and compliance requirements under Bermuda’s AML/ATF regime.
• Familiarity with Canadian securities regulation (CIRO, OSC, AMF) considered an asset.
• Experience liaising with regulators, preparing reports, and managing compliance audits.
• Successful completion of relevant compliance or regulatory certifications preferred.
• Ability to work independently while maintaining effective collaboration across jurisdictions.

Competencies

• Strong analytical and interpretive skills; ability to apply regulatory rules to business operations.
• Excellent written and verbal communication.
• Sound judgment and problem-solving capability.
• High level of integrity and confidentiality.
• Strong organizational skills with attention to detail.
• Ability to manage competing priorities in a multi-jurisdictional environment.

Location

Hamilton, Bermuda — with cross-functional collaboration across CMC Markets Bermuda Ltd. and CMC Markets Canada Inc.