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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 competitive pay structure available.
- 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 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 can provide insights or even refer you to opportunities within their organisations.
✨Tip Number 3
Stay updated on current trends and challenges in the CFD market. This knowledge will help you engage in meaningful discussions during interviews and show that you are proactive about understanding the industry landscape.
✨Tip Number 4
Prepare specific examples from your past experience that highlight your analytical skills and your ability to manage compliance issues effectively. Being able to articulate these experiences will set you apart from other candidates.
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. Emphasise any relevant certifications like ICA or CISI, and showcase your analytical and communication skills.
Craft a Strong Cover Letter: Write a cover letter that specifically addresses the responsibilities mentioned in the job description. Explain how your previous experience aligns with monitoring regulatory compliance and executing Compliance Monitoring Programs.
Highlight Regulatory Knowledge: In your application, clearly demonstrate your understanding of UK/EU regulations and AML frameworks. Use specific examples from your past roles to illustrate your expertise in these areas.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial for a Compliance Officer role.
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 job.
✨Prepare for Scenario Questions
Expect questions that assess your analytical skills and decision-making abilities. Prepare to discuss how you would handle compliance issues or regulatory changes, showcasing your problem-solving approach.
✨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 a way that is easy to understand.
