CMC Markets
London, United Kingdom
We have an opportunity for a Head of UK Compliance to join the business on an Interim/Fixed Term Contract basis of 6-9 months.
ROLE AND RESPONSIBILITIES
The Head of UK Compliance will provide daily management of the UK compliance team including: manage, coach and develop the team to effectively deliver the UK Compliance requirements of CMC Markets and Spreadbet;
Manage the implementation and continuous development of the risk-based compliance monitoring program;
Advise on and monitor the complaint handling process, supporting senior management and other employees to ensure all queries are dealt with promptly, professional and fairly and in accordance with regulatory requirements; manage significant complaints with FOS;
The Head of UK Compliance will assist on the new account opening process including client classification, appropriateness, and ensure these are carried out in accordance with regulators and the Group’s internal policies;
Manage the...