Graduate Trade Surveillance Analyst London 2023

A leading Market Maker is seeking an entry-level Trade Surveillance Analyst to join a growing compliance function.

The role

Winterflood’s compliance department provides regulatory support to the whole firm covering a diverse range of businesses including market making, corporate finance, research and Winterflood Business Services (a Platform Provider). The compliance department is made up of a number of regulatory specialists performing a range of activities including the delivery of surveillance monitoring and oversight of the Winterflood businesses and to provide ad-hoc support to the wider Compliance team.

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.

Key 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 and
• 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;
• Study for relevant CISI qualification or equivalent

About you

• Minimum 2.1 Bachelor’s Degree in STEM subject (or similar)
• Beginner/intermediate knowledge in a programming language i.e Python
• Strong Microsoft Excel skills
• Strong interest and passion to build a career in Compliance within Financial Markets
• Adept at building relationships with a multitude of different seniorities
• Highly analytical with strong attention to detail

Benefits

• 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.