Compliance Officer - Monitoring

10h10 hours ago

CMC Markets

London, GB · Full-time · £45,000 – £60,000

About this role

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 and assess the effectiveness of key controls.

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 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. This includes assisting with risk-based reviews, identifying emerging risks and themes, and collaborating with stakeholders to drive effective remediation.

Requirements

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

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, and outsourcing
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
Support internal and external audits, regulatory queries, and wider compliance activities