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For Companies At a Glance
- Tasks: Ensure compliance with regulations and oversee trading operations daily.
- Company: Join a dynamic derivatives trading house launching an exciting retail CFD platform.
- Benefits: Enjoy competitive pay, professional development opportunities, and a collaborative work environment.
- Why this job: Be part of a growing team making a real impact in the financial sector.
- Qualifications: 3-5 years in financial services compliance, with strong regulatory knowledge required.
- Other info: Relevant certifications like ICA or CISI are preferred.
The predicted salary is between 36000 - 60000 £ per year.
We are working with a derivatives trading house who have recently launched a retail CFD platform and is looking to build out its compliance function.
Responsibilities:
- Monitor regulatory compliance (FCA, MiFID II, ESMA) across trading operations.
- Maintain and execute the Compliance Monitoring Program (CMP).
- Oversee AML/KYC controls and support regulatory reporting.
- Liaise with regulators and internal stakeholders on compliance matters.
Requirements:
- 3–5 years experience in financial services compliance (CFD/FX preferred).
- Strong knowledge of UK/EU regulations and AML frameworks.
- Relevant certification (e.g., ICA, CISI) preferred.
- Excellent analytical and communication skills.
Compliance Officer - CFD trading employer: Black Swan Group
Contact Detail:
Black Swan Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer - CFD trading
✨Tip Number 1
Familiarise yourself with the latest FCA, MiFID II, and ESMA regulations. Understanding these regulations in depth will not only help you during interviews but also demonstrate your commitment to compliance in the CFD trading space.
✨Tip Number 2
Network with professionals in the financial services compliance sector. Attend industry events or webinars focused on CFD and FX trading compliance to make connections and gain insights that could give you an edge in your application.
✨Tip Number 3
Stay updated on current trends and challenges in the compliance landscape, particularly those affecting CFD trading. Being able to discuss recent developments during your interview can showcase your proactive approach and genuine interest in the role.
✨Tip Number 4
Prepare to discuss specific examples from your previous experience that highlight your analytical skills and your ability to manage compliance issues. Tailoring your responses to reflect the responsibilities outlined in the job description will make a strong impression.
We think you need these skills to ace Compliance Officer - CFD trading
Some tips for your application 🫡
Understand the Role: Familiarise yourself with the responsibilities of a Compliance Officer in CFD trading. Highlight your understanding of regulatory compliance, particularly FCA, MiFID II, and ESMA, in your application.
Tailor Your CV: Make sure your CV reflects your 3–5 years of experience in financial services compliance. Emphasise any specific experience you have with CFD/FX and your knowledge of UK/EU regulations.
Craft a Strong Cover Letter: In your cover letter, discuss your relevant certifications (like ICA or CISI) and how they relate to the role. Use this opportunity to showcase your analytical and communication skills, providing examples where possible.
Proofread Your Application: Before submitting, carefully proofread your application for any errors. Ensure that your documents are clear, concise, and free from typos, as attention to detail is crucial in compliance roles.
How to prepare for a job interview at Black Swan Group
✨Know Your Regulations
Make sure you have a solid understanding of the FCA, MiFID II, and ESMA regulations. Be prepared to discuss how these regulations impact trading operations and compliance monitoring.
✨Showcase Your Experience
Highlight your 3-5 years of experience in financial services compliance, especially in CFD or FX. Use specific examples from your past roles to demonstrate your expertise and how it relates to the position.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your analytical skills and decision-making in compliance situations. Think about past challenges you've faced and how you resolved them.
✨Communicate Clearly
Since excellent communication skills are essential for this role, practice articulating your thoughts clearly and concisely. Be ready to explain complex compliance concepts in simple terms.
