Lock Applications for this job are now closed
Closing soon

A fantastic opportunity has arisen for an aspiring graduate looking to kick start their career in the financial services sector for a well respected Market Maker; Winterflood Securities. Following a year of significant growth, Winterflood are now looking to strengthen their Governance practice creating an opportunity for an enthusiastic individual with an interest in Risk/Compliance, Trading or Technology.

The Company 

The Company is a leading liquidity provider and specialist market maker. The company’s strength is provided by our people and their flare for innovation. Winterflood combines expertise in trading with sophisticated proprietary technology to create a range of highly flexible execution services for our diverse client base. The Company is a wholly owned subsidiary of Close Brothers Group plc which is listed on the London Stock Exchange.

Winterflood warmly welcomes applicants from diverse backgrounds, as we remain committed to addressing under representation in the industry as part of our board-level Diversity and Inclusion.

The Role 

Job Purpose

  • To assist the Front Office Controls Manager in the design, implementation and maintenance of an effective front-line control and governance structure.
  •  To assist the Front Office Controls Manager in developing / enhancing existing Management Information reports relating to key trading metrics 
  • To assist and have responsibility over the generation and maintenance of monthly reports and metrics 
  • To support the Front Office Controls Manager in the development of policies, procedures, training, tools and methodologies to ensure effective and ongoing oversight of the trading environment.

Key Responsibilities

  • To assist the Front Office Controls Manager in the maintenance and development of front office controls including monthly reports
  • To learn and ultimately assist the Front Office Controls Manager in analysing the effectiveness of the front office controls 
  • Learn and understand the risks and mitigating controls that operate within the Front Office, inclusive but not limited to Compliance Policies, Conduct Risk and Conflicts of Interest Management
  • To assist with maintaining the Front Office Procedures Manual and other Front Office Procedures
  • To  assist and ultimately undertake monitoring and surveillance of Front Office controls both in relation to trader conduct, market, credit and operational risk
  • To interact with and assist Front Office personnel when questions arise relating to Front Office Controls 
  • To build and maintain a strong culture of compliance, risk management, integrity, client focus and other such Winterflood or Close Brothers values
  • To perform any other duties as reasonably required.

Learning & Development

  • 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;
  • Study for relevant CISI qualification or equivalent

Systems & Controls

  • To adhere to the rules of the Financial Conduct Authority and the Company’s compliance manual, staff handbook and IT security manual.

Communication & External Relations

  • To represent the Company and communicate effectively with Group stakeholders, clients, employees, regulators, legal authorities, professional associations and other relevant stakeholders

Behaviour & Ethics

  • To champion the Company’s integrity, accountability, responsibility, ethics, behaviour and values
  • To demonstrate ethical leadership, displaying and promoting throughout the Company positive behaviours consistent with the culture and values the Board has defined for the organisation

Key Criteria/Qualifications

  • Minimum 2.1 Bachelor’s Degree (Or equivalent) ideally with exposure to Data Science.
  • Advanced Excel/VBA skills  
  • Proficient in Python (desired)
  • 1-2 years’ experience in a ‘First Line’ role collaborating with Front Office, in either Risk/Governance/Compliance capacity (desired)
  • Strong interest and passion to build a career within Financial Markets
  • Adept at building relationships with a multitude of different seniorities
  • Highly analytical with strong attention to detail  
  • Strong work ethic and natural problem solver