Junior Trade Surveillance Analyst

OVERALL SUMMARY

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

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.
• 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.
• 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.
• Willingness to study for relevant CISI qualification or industry equivalent.

WE WOULD LOVE TO HEAR FROM YOU IF:

• 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 / SQL (desired)
• Highly analytical with strong attention to detail
• Strong Microsoft Excel skills
• Adept at building relationships with a multitude of different stakeholders

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