Graduate Trade Surveillance Analyst
An opportunity has arisen for an individual with a passion for financial markets, looking to start their career at an established and well respected market maker Winterflood Securities Limited. The Vacancy sits within a high-performing Compliance function, of which there is a varied mixture of supportive senior management, mid-management and entry level personnel. The successful candidate will be a highly motivated individual with a good understanding of the dynamics affecting the financial market with any additional relevant regulatory knowledge a plus. Above all, you will need to be honest and trustworthy, with a sound understanding, respect and commitment to our obligation to maintain the stability and fairness of Financial Markets, and the remit of compliance and governance parameters outlined both by the Company and our Regulators. 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.
The successful applicant will 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 and
- Perform ad-hoc compliance 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;
- Study for relevant CISI qualification or equivalent.
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
Criteria & Qualifications
- 2.1 Bachelors Degree (or equivalent) preferably in Maths/Science
- Initial exposure to Python (or strong willingness to learn)
- Advanced Excel/VBA skills
- Strong interest and passion to build a career within Financial Markets
- Highly analytical with strong attention to detail
- Strong work ethic and natural problem solver.