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Junior Trade Surveillance Analyst

Division Winterflood
Location London
Salary
Mergefield Title {Mergefield Value}

This is a {Advertised Permanent / Temporary}, {Advertised Full Time / Part Time} vacancy that will close in {x} days at {xx:xx} BST.

OVERALL SUMMARY

The primary objective of the role will be to assist in the delivery of surveillance monitoring and oversight of the Winterflood businesses and to provide ad-hoc support to the wider Compliance team

RESPONSIBILITIES

  • Working with the Surveillance Team to assist in the completion of trade surveillance and related front office monitoring activities as part of the firm’s compliance monitoring procedures.
  • Provide advice and assistance to front office staff in resolving compliance and regulatory issues arising from sales and trading activities.
  • Liaise and communicate with all internal stakeholders to ensure a consistent and effective risk-based approach, compliant with professional standards, is deployed across the trading floor.
  • Resolve trading issues to the satisfaction of both the Company and clients in compliance with regulatory obligations.
  • Provide analysis of large trade and order data sets using existing (or developing) skills.
  • Participation in the delivery of the firm’s market abuse training programme.
  • Perform ad-hoc governance duties as required.
  • Develop a deep understanding for the financial markets, keeping abreast of news and trends to understand and identify how changes may impact the Company or its regulatory reporting requirement.
  • Develop a deep understanding for the financial markets, keeping abreast of news and trends to understand and identify how changes may impact the Company or its regulatory reporting requirement.
  • Relevant coding and/or excel skills to provide analysis over large data sets.
  • Willingness to study for relevant CISI qualification or industry equivalent.

 

WE WOULD LOVE TO HEAR FROM YOU IF:

  • Strong academic background educated to A-Level (or equivalent) and upwards.
  • Demonstrable interest and passion to build a career in Compliance within Financial Services
  • Proficient in a programming language i.e. Python / SQL (desired)
  • Highly analytical with strong attention to detail  
  • Strong Microsoft Excel skills
  • Adept at building relationships with a multitude of different stakeholders

At Close Brothers we look to recruit individuals from all different backgrounds and encourage you to apply even if you don’t tick every box. We celebrate diversity, promote inclusivity and are open to discuss flexible work options to help you balance your work and home life.

We appreciate that from time to time, recruitment agencies will have speculative CVs that they may wish to submit to our Talent Acquisition team in relation to a specific role.

To avoid any ambiguity around fees, please note that speculative CVs received by Close Brothers, that have not been authorised in advance, by us, will be ineligible for an agency fee. Thank you.

Winterflood Securities is a leading market maker committed to providing liquidity and flexible execution services to retail brokers, asset managers and institutional investors. 

Winterflood’s strengths are a combination of traditional trading values and the performance of our own cutting edge technology. Our experienced team of traders helps clients achieve high quality execution in over 15,000 tradable instruments including UK, European and North American Equities together with Investment Trusts, Exchange Traded Products, Fixed Income, Structured Products and Funds. Founded in 1988, Winterflood has gone from being a niche market maker in the UK Small Cap market, to a mature, diverse and major liquidity provider across multiple asset classes in the UK and European markets.

Winterflood is authorised and regulated by the Financial Conduct Authority. Winterflood Securities is a wholly-owned subsidiary of Close Brothers Group plc, a specialist financial services group which makes loans, takes deposits, trades securities and provides advice and investment management solutions to a wide range of clients. Close Brothers is a leading UK merchant banking group providing lending, deposit taking, wealth management services and securities trading. We employ approximately 4,000 people, principally in the United Kingdom and Ireland. Close Brothers Group plc is listed on the London Stock Exchange.

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in X days

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