Senior Compliance Monitoring Analyst

The Vacancy Winterflood’s compliance department provides regulatory support to the whole firm covering a diverse range of businesses including market making, corporate finance, research and a retail platform. This is an initial 6-9 Month FTC with possible extension.

Key Responsibilities and Duties

Reporting to the Operational Compliance & Monitoring Manager, the role will include

• Assist with the management and delivery of all aspects of compliance monitoring
• Determine the scope and testing approach for reviews
• Conduct thorough Compliance Monitoring reviews covering a range of activities across all business divisions.
• Identifying and analysing potential risks to the firm.
• Provide written reports for management and key business stakeholders to include details of findings and recommended actions
• Track progress of compliance monitoring against the annual plan and report to management
• Prepare management information for senior management and the Risk and Compliance Committee
• Ad-hoc duties as required

Requirements

Skills & Experience

• Knowledge and experience of a similar wholesale, retail or professional services firm
• Relevant regulatory knowledge including some of the following: COBS, CASS, SYSC, MAR, LSE and other rules, MiFID II, HMRC ISA Rules, JMLSG
• Ability to learn quickly and solve problems
• Strong communication skills
• Experience of producing written reports

Personal Attributes

• Confident and independent self-starter willing to take ownership of issues and drive to resolution
• Collaborative worker able to pursue team goals and both seek and provide support as required
• Strong work ethic with a commitment to continuous personal development
• Excellent organisational and time management capabilities, able to manage multiple tasks and tight deadlines under pressure
• Strong and proven problem solving and reporting skills
• Attention to detail and able to interpret regulations and apply them
• Strong communication and interpersonal skills

Benefits

• Competitive salary inclusive of 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

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.

The Company 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.