Deputy Head of Compliance - Frankfurt am Main, Deutschland - CMC Markets

CMC Markets
CMC Markets
Geprüftes Unternehmen
Frankfurt am Main, Deutschland

vor 2 Wochen

Lena Wagner

Geschrieben von:

Lena Wagner

beBee Recruiter
Beschreibung

ROLE AND RESPONSIBILITIES

  • The Deputy Head of Compliance and Anti Financial Crime role will be responsible for the daytoday provision of Compliance & Anti Financial Crime services to the business and individual employees across Europe
  • Responsible for the review and approval of financial promotions, communications with clients and all other client facing documentation which could impact local clients in Germany and in the European branches in accordance with the relevant regulatory and Group policies;
  • Coordinate the development and update of Compliance & Anti Financial Crime policies and procedures to ensure compliance with regulation;
  • The Deputy Head of Compliance and Anti Financial Crime will support and deputise the Head of Compliance Europe and the local Compliance Heads in the European branches to ensure sufficient controls are in place to mitigate risks identified; undertaking monitoring and surveillance of business activities
  • Perform the Deputy Compliance Officer and Deputy MLRO role for the entity
  • Carry out and support the customer complaint handling process, supporting senior management and other employees to ensure all queries are dealt with;
  • Coordinate regular and ad hoc management reporting
  • The Deputy Head of Compliance and Anti Financial Crime will monitor regulatory developments, performance of gap analyses and identification of measures to ensure full compliance with changing regulatory requirements
  • Responsible for oversight of outsourced activities and tasks
  • Support the design and deliver of required bespoke compliance training to staff, focusing on key aspects of the business and current regulatory issues;
  • Ensure appropriate escalation of matters to the Head of Compliance Europe as relevant;
  • Carry out and support other functions of the compliance department, including supporting investigations, maintenance of registers, transaction reporting etc;

KEY SKILLS AND EXPERIENCE

  • The Deputy Head of Compliance and Anti Financial Crime will be organised and have a selfmotivated working style;
  • Analytical approach with attention to detail;
  • Strong communication skills, written and verbal;
  • Able to respond positively to changing priorities;
  • Previous quality experience in a senior compliance and/or AFC related role;
  • Willingness to learn new regulatory regimes and show adaptability to local considerations;
  • Fluency in English and German other European languages are a plus
  • Ability to liaise with internal and external customers with tact and diplomacy
  • Leadership skills
  • Strong team player;
  • Strong ability to build relationships;
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