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For Companies At a Glance
- Tasks: Monitor compliance with regulations and oversee AML/KYC controls in trading operations.
- Company: Join a dynamic derivatives trading house launching an exciting retail CFD platform.
- Benefits: Flexible contract options and the chance to work in a fast-paced environment.
- Why this job: Be part of a growing team that values compliance and regulatory excellence.
- Qualifications: 3-5 years in financial services compliance, with strong knowledge of UK/EU regulations.
- Other info: Relevant certifications like ICA or CISI are preferred; structured as FTC or day rate.
The predicted salary is between 48000 - 72000 £ per year.
Job Description
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.
Can be structured as an FTC or day rate
Compliance Officer - CFD trading *Contract* 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 *Contract*
✨Tip Number 1
Familiarise yourself with the latest FCA, MiFID II, and ESMA regulations. Being well-versed in these regulations will not only boost your confidence 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 join relevant online forums to connect with others who work in compliance roles. This can lead to valuable insights and potential referrals for the position.
✨Tip Number 3
Prepare to discuss specific examples of how you've implemented compliance monitoring programs in previous roles. Highlighting your hands-on experience with AML/KYC controls will set you apart from other candidates.
✨Tip Number 4
Stay updated on current trends and challenges in the CFD trading market. Showing that you understand the industry's landscape and its regulatory challenges will impress interviewers and demonstrate your proactive approach to compliance.
We think you need these skills to ace Compliance Officer - CFD trading *Contract*
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in financial services compliance, particularly in CFD or FX. Use specific examples that demonstrate your knowledge of UK/EU regulations and AML frameworks.
Craft a Strong Cover Letter: In your cover letter, explain why you are interested in the Compliance Officer position and how your skills align with the responsibilities outlined in the job description. Mention your relevant certifications and any specific achievements in compliance monitoring.
Showcase Analytical Skills: Since excellent analytical skills are crucial for this role, consider including a brief section in your application that describes a challenging compliance issue you resolved in the past. This will help demonstrate your problem-solving abilities.
Proofread Your Application: Before submitting your application, take the time to proofread it for any spelling or grammatical errors. A polished application reflects your attention to detail, which is essential for a Compliance Officer.
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 you've successfully navigated compliance challenges.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your analytical skills and decision-making process. Think about potential compliance issues you might face and how you would address them, particularly regarding AML/KYC controls.
✨Communicate Clearly
Strong communication skills are essential for this role. Practice articulating complex compliance concepts in a clear and concise manner, as you'll need to liaise with both regulators and internal stakeholders.
