Technology Governance Junior Analyst

Winterflood Securities is currently hiring for X2 Junior Analysts to join the Technology Governance function.

Successful candidates will enjoy a broad remit, as they assist in the maintenance and enhancement of the Company’s Data Governance, Data Protection, Market Data control, IT General Controls, Operational Resilience (including Business Continuity) and Third Party Management methodologies. The role reports to Technology Governance Lead Analyst.

There will also be additional opportunities to partner closely with the Head of Technology Governance to perform a range of different ad-hoc duties and projects.

Key Responsibilities

Third-Party Management Framework:

• Vendor relationship management support throughout the lifecycle of third party relationships.
• Third-Party Management Framework maintenance and support.
• Perform local administration of the Third Party Risk Management (TPRM) system, used to manage the lifecycle, of third party suppliers and store associated records, ensuring that appropriate training for usage of the system is provided to all relevant stakeholders.
• Assist in conducting due diligence assessments on potential vendors to ensure they meet the organization's standards and regulatory requirements and fall within WINS’ risk appetite.
• Compliance:
• Stay up to date with relevant regulations and industry standards affecting third-party relationships.
• Contract Negotiation and Review:
• Collaborate with the WINS Legal team to negotiate and review contracts with third-party vendors.
• Issue Resolution:
• Act as a point of contact for addressing and resolving issues with third-party vendors.
• Collaborate with internal stakeholders to ensure timely issue resolution.
• Reporting and Documentation:
• Assist in the preparation and maintenance of documentation relating to the third-party management framework.
• Assist in providing reports to senior management regarding the status and performance of third-party vendors, on both an ad hoc basis and via the Third Party Management Committee.

Market Data Management:

• Act as a point of contract for performing the following Market Data Management activities:
• Ensure compliance with applicable market data vendor and exchange licencing terms.
• Provide oversight of market data (and related software) costs and advice to the business regarding data solutions
• Market Data Policy Change Management
• Display Data Administration
• Market Data Business Analysis
• Supplier Management
• Issue Resolution

Operational Resilience and Business Continuity Management:​

• Assist with the delivery and related change aspects of the Operational Resilience and Business Continuity programme and associated IT projects.
• Track progress against key delivery milestones across the Operational Resilience and Business Continuity programme and in the wider IT projects space.
• Support periodic validation activities and participate in appropriate forums to ensure the accuracy of Important Business Service mapping data.

Data Protection Compliance:

• Ensure compliance with data protection regulations and establish governance frameworks for managing data and technology risk.
• Oversee the Data Protection functions to ensure that WINS remains compliant with applicable legislation and regulation.

Data Governance Framework:

• Maintain data governance framework.
• Assist in defining data ownership, classification, and stewardship responsibilities within the organization.
• Provide information regarding ongoing workstreams and KRIs to the business via the Data Governance Committee.
• To assist the wider IT area as required with respect to internal and external audits; ensuring that action points are resolved and closed appropriately.
• Provide access control related audit and project updates to relevant senior stakeholders as and when appropriate.

IT General Controls:

• To take ownership of delivery and completion of cyclical access control reviews across the business. Including internal and externally hosted applications, physical security reports, market data access permissions, and other ad-hoc reporting as required.
• To own the policies and procedures associated with access control and keep them updated as per requirements.
• To produce analysis identifying toxic combinations of access and enforce remediation actions where appropriate.
• To assist with producing and presenting MI to senior business stakeholders.

Reporting:

• Support delivery of the following:
• Monthly external reporting obligations to various vendors/Exchanges
• Monthly internal reporting obligations to the WINS Board, Risk and Compliance Committee, Technology Committee and any required reporting to Close Brothers Group.
• Provide management information relating to Data Protection and Technology incidents.

Audit and Risk:

• Support delivery of the following:
• Oversight, engagement and reporting of both internal and external audit related activities in the Technology area.
• Risk and Control Self-Assessment (RCSA) maintenance for COO and technology area.

Other Duties

• To assist with IT special projects, inclusive of:
• Procurement exercises in respect of technological requirements
• Analysis of what-if scenarios with respect to the impact of changes to the current technological environment
• To complete ad-hoc IT related projects, as required by relevant senior stakeholders

Required Skills and Knowledge

• Authentic and demonstrable passion for Financial Markets and Technology
• Excellent relationship management skills
• Excellent coordination and organisational skills
• Excellent verbal and written communication skills
• Excellent teamworking skills
• Good theoretical grasp of the risk/regulatory landscape in the context of Financial Markets (desired)
• Strong analytical skills
• Evident drive to succeed, who can also prioritise workload during busier periods
• Excellent academic record including Minimum 2.1 University Degree (desired)

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
• 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.