Senior Analyst - Compliance Advisory
Close Brothers Group
London, UK
Published 4 days ago
Compliance Management Systems / Technology
The Vacancy
In this newly created role, the incoming hire will work as a key member of the Compliance Advisory team, supporting the business with regulatory advice in relation to financial markets trading, corporate, custody and wealth services.
Key Responsibilities
Entitlement outlined above is in respect of full-time entitlement, and will be provided to part-time workers on a prorate basis in accordance with the relevant scheme rules.
All benefits are subject to rules of the scheme and associated provider. The Company in its sole and absolute discretion reserves the right to discontinue, vary or amend any of the aforementioned benefits.
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 Group plc is listed on the London Stock Exchange and is a member of the FTSE 250.
Inclusion
The Benefits
Private medical
Discounted health checks
Stakeholder pension contribution
Gym discounts
Cycle to work scheme
Save As You Earn scheme
Purchase additional holiday
Previous Next
Charity & Sustainable work
At Close Brothers, we are dedicated to helping the charities that matter most to our employees. Our donations continue to increase year on year thanks to our fundraising efforts and matched giving schemes to our employees' favourite charities. We continue to seek out new ways to give as a group and to help employees who give their valuable time and money to causes close to them.
To find out more detail please follow the link below:
https://www.closebrothers.com/charity.
Sustainability is fundamental to our purpose, and we recognise that to help the people and businesses of Britain thrive over the long term, we also have a responsibility to help address the social, economic and environmental challenges facing our business, employees and customers, now and into the future.
To find out more detail please follow the link below:
https://www.closebrothers.com/sustainability.
In this newly created role, the incoming hire will work as a key member of the Compliance Advisory team, supporting the business with regulatory advice in relation to financial markets trading, corporate, custody and wealth services.
Key Responsibilities
- Support the Advisory Manager in providing the business with advice in line with FCA and other regulatory requirements.
- Assist in the creation and delivery of compliance training, policies and internal procedures;
- Perform investigations into the activities within the business to ensure compliance with internal policies;
- Assist in the analysis of new regulation and delivery of ad-hoc Regulatory Projects
- Assist in the analysis of new business initiatives, applicable regulatory obligations and associated risk impact.
- Oversee day to day compliance matters which may include responsibility related to control room, operational and other core compliance queries and tasks;
- Utilise and build knowledge and experience of Capital Markets
- To represent the Company and communicate effectively with Group stakeholders, clients, employees, regulators, legal authorities, professional associations and other relevant stakeholders
- To maintain and enforce a strong compliance culture and champion the Company's integrity, accountability, responsibility, ethics, behaviors & values
- 3+ years' relevant experience in a financial Compliance related role
- Outstanding relationship management and communication skills
- Strong problem solving and organisational skills
- Good understanding of organizational and governance processes
- Strong Microsoft office skills
- Competitive salary plus 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
Entitlement outlined above is in respect of full-time entitlement, and will be provided to part-time workers on a prorate basis in accordance with the relevant scheme rules.
All benefits are subject to rules of the scheme and associated provider. The Company in its sole and absolute discretion reserves the right to discontinue, vary or amend any of the aforementioned benefits.
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 Group plc is listed on the London Stock Exchange and is a member of the FTSE 250.
Inclusion
The Benefits
Private medical
Discounted health checks
Stakeholder pension contribution
Gym discounts
Cycle to work scheme
Save As You Earn scheme
Purchase additional holiday
Previous Next
Charity & Sustainable work
At Close Brothers, we are dedicated to helping the charities that matter most to our employees. Our donations continue to increase year on year thanks to our fundraising efforts and matched giving schemes to our employees' favourite charities. We continue to seek out new ways to give as a group and to help employees who give their valuable time and money to causes close to them.
To find out more detail please follow the link below:
https://www.closebrothers.com/charity.
Sustainability is fundamental to our purpose, and we recognise that to help the people and businesses of Britain thrive over the long term, we also have a responsibility to help address the social, economic and environmental challenges facing our business, employees and customers, now and into the future.
To find out more detail please follow the link below:
https://www.closebrothers.com/sustainability.