Junior Trade Surveillance Analyst

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,

• 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;


• Relevant coding and/or excel skills to provide analysis over large data sets; and


• Study for relevant CISI qualification or equivalent.
  
  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, and SQL (desired)


• Adept at building relationships with a multitude of different stakeholders


• Highly analytical with strong attention to detail


• Strong Microsoft Excel skills
  
  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 Group plc is listed on the London Stock Exchange and is a member of the FTSE 250., At Close Brothers, we are dedicated to helping the charities that matter most to our employees. Our donations continue to increase year on year thanks to our fundraising efforts and matched giving schemes to our employees' favourite charities. We continue to seek out new ways to give as a group and to help employees who give their valuable time and money to causes close to them.

To find out more detail please follow the link below:

https://www.closebrothers.com/charity.

Sustainability is fundamental to our purpose, and we recognise that to help the people and businesses of Britain thrive over the long term, we also have a responsibility to help address the social, economic and environmental challenges facing our business, employees and customers, now and into the future.

To find out more detail please follow the link below:

https://www.closebrothers.com/sustainability.

Salary - competitive

• Discretionary annual bonus & annual pay review


• Work Abroad Policy for up to 15 days per year


• 25 days holiday plus bank holidays and additional well-being day


• Option to purchase an additional 5 days holiday per year


• Flexible working options available, including hybrid working


• Pension scheme up to 10% employer contribution


• Sharesave scheme


• Income Protection & Life insurance (4 x salary core level of cover)


• Private health care via BUPA


• Employee Assistance Programme


• Discounted Gym Membership


• Variety of travel to work schemes


Company benefits are provided on completion of either six months service, or a successful probation period whichever is sooner.

Entitlement outlined above is in respect of full-time entitlement, and will be provided to part-time workers on a prorate basis in accordance with the relevant scheme rules.

All benefits are subject to rules of the scheme and associated provider. The Company in its sole and absolute discretion reserves the right to discontinue, vary or amend any of the aforementioned benefits.

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.