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Policy Specialist

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CMC Markets

Aug 8

  • Job
    Full-time
    Senior Level
  • London
  • Quick Apply

AI generated summary

  • You should have a degree or equivalent experience, strong policy drafting skills, stakeholder management, organizational abilities, critical thinking, and proficiency in MS Office; compliance knowledge is a plus.
  • You will draft and revise policies, collaborate with regional teams on compliance, manage project timelines, conduct gap analyses, and oversee the retirement of local policies as needed.

Requirements

  • University or college degree or equivalent work experience
  • Expert experience with drafting policies; great command of the English language
  • Ability to absorb complex information and present it to employees at all levels of an organisation in a clear and accessible way
  • Strong stakeholder management, including the ability to understand diverse perspectives and to be able to successfully influence
  • Strong organisational skills with the ability to perform comfortably in a fast-paced, deadline-oriented work environment
  • Possessing initiative, critical thinking, and problem-solving skills
  • Proficiency in MS Office Suite, including Word and Excel, PPT, SharePoint
  • Compliance experience (Desired)
  • Knowledge of UK and European financial services regulations (Desired)

Responsibilities

  • To draft new policies or amendments to existing group policies that will be subject to an agreed approval process. Policies will need to meet a defined standard, and there may be an opportunity to review and enhance this policy standard.
  • To work with Compliance/ Legal/ Control function teams across all regions to identify the regulation/ legislation that needs to be taken into account in the minimum standards and/or to identify the regional variations to group policies. Some independent research may be required.
  • To prioritise policy revisions taking into account review cycles, audit issues or other prioritisation factors and that this prioritisation is agreed with Head of Operational Risk and Regional Heads of Compliance.
  • To project manage the enhancement of the entire suite of Group policies and to keep all relevant stakeholders informed on the progress.
  • To draft appropriate appendices to the policies that reflect the regional regulatory (high-level) requirements and the local variations to the group policy.
  • To capture, where possible, known gaps in policy principles compared to actual practice (gap analysis), so that a remediation plan can be put in place.
  • To identify where there are policies missing.
  • To work with regional teams to manage the retirement of local policies, where appropriate.

FAQs

What are the primary responsibilities of a Policy Specialist?

The primary responsibilities include drafting new policies or amendments, collaborating with Compliance/Legal teams to identify regulations, prioritizing policy revisions, project managing policy enhancements, drafting appendices for regional requirements, conducting gap analyses, identifying missing policies, and managing the retirement of local policies.

What qualifications are required for this position?

A university or college degree or equivalent work experience is required, along with expert experience in drafting policies, strong communication skills, stakeholder management abilities, and proficiency in the MS Office Suite. Compliance experience and knowledge of UK and European financial services regulations are desired but not mandatory.

How do the policies align with the company's strategic goals?

Policies are aligned with the Group’s strategic goals, objectives, and operational needs, ensuring they reflect minimum standards across the group while identifying key control requirements.

What is the significance of regional appendices in the policies?

The appendices reflect regulatory expectations by region and document deviations from group principles, ensuring that the policies meet local regulatory requirements.

What skills are essential for success in this role?

Essential skills include strong organizational abilities, critical thinking, problem-solving skills, stakeholder management, and the capacity to present complex information clearly.

Is compliance experience mandatory for applying to this job?

No, compliance experience is desired but not mandatory for this position.

What tools or software should I be proficient in for this role?

Proficiency in the MS Office Suite, including Word, Excel, PowerPoint, and SharePoint is required for this role.

How are policy prioritizations agreed upon?

Policy prioritizations are agreed upon by the Policy Specialist in consultation with the Head of Operational Risk and Regional Heads of Compliance, taking into account review cycles, audit issues, and other prioritization factors.

What is the expected outcome of conducting a gap analysis?

The expected outcome is to identify known gaps in policy principles compared to actual practice, allowing for the creation of a remediation plan to address these gaps.

What is the role of a Policy Specialist in the retirement of local policies?

The Policy Specialist works with regional teams to manage the retirement of local policies, ensuring that policy structures are streamlined and aligned with overall group policies.

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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.