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Head of Compliance & Anti Financial Crime Europe

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CMC Markets

2mo ago

  • Job
    Full-time
    Senior Level
  • Banking & Finance
  • Frankfurt
  • Quick Apply

AI generated summary

  • You should excel in customer service management, leadership, decision-making, business acumen, and stakeholder communication, while demonstrating resilience, drive, and team development skills.
  • You will manage regulatory compliance, develop policies, engage with regulators, oversee audits, provide training, and support the compliance team while fostering key stakeholder relationships.

Requirements

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

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

FAQs

What is the primary responsibility of the Head of Compliance & Anti Financial Crime for the European region?

The primary responsibility is the functional and disciplinary management of the Compliance & Anti Financial Crime department for the European region, overseeing the overall Compliance programme for CMC Markets Germany GmbH and its European branches. This includes areas such as Markets and Corporate Compliance, AML Prevention, anti-terrorist financing, embargoes, and financial sanctions.

What kind of regulatory authority does the Head of Compliance & Anti Financial Crime have?

The Head holds unrestricted access and examination rights to all relevant data and information necessary for effectively performing regulatory functions and is generally independent in executing their mandate, including the authority to give instructions to employees and managers.

What key tasks are involved in this role regarding regulatory developments?

Key tasks include reviewing regulatory developments across Europe and Germany, assessing their applicability, and proposing and managing the implementation of solutions in response to those changes.

How does the Head of Compliance & Anti Financial Crime interact with regulators?

The Head is responsible for cultivating strong relationships with regulators, managing interactions and dialogues, responding to regulatory queries, and representing the Compliance & Anti Financial Crime function in various internal and external committees.

What is expected in terms of documentation and policy management?

The role involves ensuring the continued development of documentation, including policies, procedures, and frameworks in alignment with the evolving regulatory environment.

How does the Head of Compliance & Anti Financial Crime contribute to risk management?

The Head provides strong leadership in proactively supporting the risk process within the region, which includes identifying, assessing, treating, reporting, and monitoring risks to promote a robust risk culture.

What type of training is the Head of Compliance & Anti Financial Crime responsible for?

The Head is responsible for designing and delivering bespoke compliance training to staff, focusing on key aspects of the business and current regulatory issues relevant to CMC Markets Germany GmbH.

What competencies are essential for performing the role of Head of Compliance & Anti Financial Crime?

Essential competencies include managing customer service standards, developing people and teams, leadership, decision-making, business acumen, resilience and drive, and effective communication and stakeholder management.

What kind of information and support does the Head provide to management bodies?

The Head is expected to provide sufficient management information to local and Group management bodies regarding compliance and anti-financial crime activities, as well as guidance and support for other members of the Compliance team.

What are the expectations regarding personal and professional development in this role?

The Head is expected to maintain personal and professional development to meet the changing demands of the role, including undertaking all relevant regulatory and legislative training.

CMC Markets

Realise your potential

Finance
Industry
501-1000
Employees
1989
Founded Year

Mission & Purpose

CMC Markets is a global financial services provider specialising in online trading and investment. The company offers a wide range of financial products, including contracts for difference (CFDs), spread betting, and traditional share trading. CMC Markets' mission is to empower individuals to take control of their financial futures by providing them with innovative trading platforms, comprehensive market analysis, and access to a diverse range of global markets. Their purpose is to democratise financial markets and make trading accessible to all, regardless of their experience or location. CMC Markets aims to provide traders and investors with the tools and resources they need to make informed decisions and achieve their financial goals. With a strong commitment to technology, education, and customer support, CMC Markets strives to be a trusted partner in the financial industry.