Winterflood Business Services (WBS) is a fast growing division of Close Brothers Group, whose passion for innovation and relentless client focus currently attributes to the management of £4bn AUA. WBS adopts the latest technologies to provide an award winning B2B service to the platform and Wealth Management Industry and is now anticipating an exciting period of growth despite tough market conditions.
WBS are now seeking a compliance professional to assume a senior position within a collegiate team, acting as a 'Deputy' to the Head of Compliance.This is a salaried, Fixed Term Contract covering a period of 12 months maternity cover. There will therefore be a strong preference for candidates who are immediately available or have a maximum notice period of 4 weeks.
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. The compliance department is made up of regulatory specialists performing a range of activities including providing advice, trade surveillance, control room and monitoring activities.
Key Responsibilities and Duties
Reporting to the Head of Compliance - WBS, the role will include
Assistance with the management and delivery of all aspects of Compliance Monitoring, including responsibility for developing and implementing the annual risk assessment and monitoring plan.
Allocating resources effectively to ensure the monitoring schedule is completed in a timely fashion. Supporting team members to prioritise work and balance competing priorities.
Conducting Compliance Monitoring reviews covering a range of activities across the Wins and WBS platforms. Identifying and analysing potential risks to the firm and preparing written reports for the Head of Compliance and key business stakeholders.
Assistance with the sign off of Compliance Monitoring reviews.
Providing informed and actionable coaching, guidance and development activities for junior members of the team to ensure they are always learning new skills and capabilities for current and future roles.
Ownership of the online training system, review of training content and assigning all training to employees.
Oversight and management of the Compliance Policy Review schedule, including review of policy content where required.
Preparation of management information for senior management and the Risk and Compliance Committee.
Ad-hoc duties as required.
Behaviour & Ethics
To maintain and enforce a strong compliance culture and champion the Company's integrity, accountability, responsibility, ethics, behaviours & values
To demonstrate the positive behaviours outlined in the Company's values WINNER which is consistent with the culture and values the Board has defined for the organization
Skills & Experience
Knowledge and experience of a similar Investment, wholesale, retail or professional services firm
Substantial experience in a Control Testing environment
Candidates will come from a Compliance Monitoring background (Internal Audit will also be considered)
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.
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