Technology Governance Lead Analyst

Winterflood Securities is currently hiring for a Lead Analyst to join its Technology Governance function.

The successful candidate will lead on initiatives to maintain and enhance the Company’s Data Governance, Data Protection, Market Data control, IT General Controls, Operational Resilience (including Business Continuity) and Third Party Management methodologies.

The incumbent will manage a small team of Junior Analysts.

Key Responsibilities

Third-Party Management Framework:

• Provide effective oversight and management of relationships with external vendors, suppliers, and service providers, mitigate risks, ensure compliance with regulatory requirements, and optimize the value derived from third-party relationships.
• Manage the Third-Party Management Framework.
• Establish and maintain relationships with third-party vendors throughout the lifecycle of third party relationships.

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 the point of contact for addressing and resolving issues with third-party vendors.
• Reporting and Documentation:
• Prepare and maintain documentation relating to the third-party management framework.

Market Data Management:

• 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

• To maintain records of all relevant Market Data contracts and keep current with any vendor contract/policy changes that may impact the on-going use of said data, escalating to the Head of Technology Governance as appropriate, ensuring costs are adequately controlled and licence terms adhered to.

Market Data Business Analysis

• To liaise with the relevant stakeholders in the Company to understand the Company’s market data requirements.

Supplier Management

• Act as Business Owner for Market Data vendor and Stock Exchange third party relationships.

Issue Resolution

• Escalate third party market data incidents to the appropriate external contacts and provide feedback to internal stakeholders.

Operational Resilience and Business Continuity Management:

• Maintain ongoing delivery of Operational Resilience programme, ensuring that WINS meets its associated regulatory obligations and completes its annual Operational Resilience Self Assessment and supporting activities in a timely manner.
• To develop strong working relationships with senior business stakeholders in order to assist with the delivery and related change aspects of the Operational Resilience programme and associated IT project.

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.

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 develop a close working relationship with and provide support to the wider IT team with respect to ensuring that access controls remain both effective and robust in practise.

People:

• Conduct and lead team meetings with a focus on fostering collaboration, sharing insights, and setting actionable goals, ensuring that each team member's voice is heard, and contributions are valued
• Enhance the performance of the department through ongoing coaching and feedback in areas of personal effectiveness, ensuring all skill-gaps for direct reports are acted upon

Cost Management:

• Perform invoice reconciliations and maintain cost oversight as part of the budget management process.

Policy Management:

• Ownership of Data Protection related Policies and associated documentation.

Reporting:

• 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.

Audit and Risk:

• 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.

Required skills & Experience

• A minimum of 5 years previous experience working in a Technology Governance role within Financial Services
• Hands-on approach, comfortable managing multiple different workstreams with competing priorities
• Excellent presentation and communication skills
• Previous experience in mentoring/developing junior team members.
• Track record of maintaining high performance standards; clear focus and commitment to driving great customer outcomes, profitability, and shareholder value
• Ability to foster a strong positive culture (inclusive of the achievement of D&I objectives) aligned to the overall Company culture within a division or significant department

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.