Compliance Associate

Winton; Greater London; On-site; GBP 40,000 - 60,000; Full time

Job summary

A research-based investment management firm is looking for a motivated Compliance Associate in Greater London. The role involves monitoring and trade surveillance tasks across various asset classes, supporting compliance functions, and ensuring adherence to regulatory standards. Ideal candidates are early-career professionals with at least one year of experience in a surveillance role, a strong interest in financial markets, and analytical skills. The position offers extensive training, career development opportunities, and a collaborative team environment.

Benefits

Competitive compensation and benefits package

Support for professional development and training

Collaborative team environment

Qualifications

• Early-career professional eager to build a career in compliance.
• Understanding of regulatory frameworks and financial markets.
• Ability to prioritize tasks and meet deadlines.

Responsibilities

• Initial review of compliance alerts and escalation as needed.
• Prepare and submit the firm's short position disclosures.
• Assist in mandatory compliance training and employee certifications.

Skills

Surveillance

Analytical skills

Attention to detail

Communication skills

Knowledge of SQL

Interest in financial markets

Education

1 year of experience in a surveillance related role

Tools

SQL

Python

Excel

VBA

Job description

About Winton

Winton is a research-based investment management company with a specialist focus on statistical and mathematical inference in financial markets. The firm researches and trades quantitative investment strategies which are implemented systematically via thousands of securities spanning the worlds major liquid asset classes. Founded in 1997 by David Harding Winton today manages assets for some of the worlds largest institutional investors.

We employ ambitious professionals who want to work collaboratively at the leading edge of investment management.

We are seeking a motivated and ambitious Compliance Associate. Reporting to the Head of Trading and Markets Compliance the role offers exposure to trade surveillance and best execution monitoring across a broad range of asset classes alongside day-to-day responsibility for short position parallel the successful candidate will provide monitoring and administrative support across the wider compliance function with a particular emphasis on the firms Code of Ethics - including personal account dealing outside business interests gifts and entertainment and employee training and certifications.

This combination of markets-focused and employee-related responsibilities provides a strong foundation for a long-term career in buy-side compliance.

We are looking for candidates with a strong interest in financial markets and experience in a surveillance-related role ideally gained at an exchange broker or similar institution who are now looking to transition to the buy-side.

Your responsibilities

• Monitoring and Surveillance: Responsibility for the initial review of Surveillance / Compliance alerts using in-house tools. Escalation of those that require deeper review to the Head of Trading and Markets Compliance.
• Best Execution: Initial review of Best Execution monitoring and liaison with the Execution team as needed.
• Alpha Capture: Responsibility for the onboarding and ongoing maintenance of Alpha Capture Contributors.
• World-check: Reviewing world-check alerts for the firms client relationships.
• Employee-related compliance: Monitoring tasks associated with personal account dealing outside business interests, gifts and entertainment, training and certifications.
• Regulatory Disclosures and Reporting: Take day-to-day responsibility for preparing and submitting the firms short position disclosures working closely with the Head of Trading and Markets Compliance to ensure timely and accurate reporting.
• Regulatory submissions: Work with the Head of Regulatory Risk to provide secondary support on regulatory submissions (including Annex IV Form PF, PQR, and 13F) initially through shadowing and training with the aim of developing the capability to take on independent filing responsibilities over time.
• Compliance Administration and Oversight: Assist in the assignment of employee-related tasks including personal investment disclosures, mandatory compliance training and employee certifications.
• Management reporting: Prepare management reporting for the quarterly compliance reports.

What we are looking for

• Early-career professional eager to build a career in compliance with a strong interest in trading and financial markets
• 1 year of experience in a surveillance related role at an exchange or broker
• Enthusiastic, analytical and adaptable with an understanding that working in a small team requires broad responsibilities.
• Familiarity with or interest in automation tools (e.g. SQL, Python, Excel, VBA) with a willingness to develop these skills further.
• Strong interest in financial markets and regulatory frameworks.
• Excellent attention to detail, analytical and organisational skills.
• Clear and effective written and verbal communication skills.
• Ability to prioritise tasks and meet deadlines in a fast-paced environment.
• Desire to pursue relevant industry qualifications (e.g. CISI Diploma in Investment Compliance, CFA, CAIA).

Development and Training

• Direct training and mentoring from senior compliance professionals with extensive buy-side and sell-side experience.
• Opportunity to develop hands-on expertise in building / designing trade surveillance systems, regulatory reporting and regulatory risk oversight.
• Opportunity to gain broader exposure to generalist compliance responsibilities including exposure to US regulatory regimes (SEC and NFA).
• Support and sponsorship for professional development including relevant industry exams and continuous learning opportunities.

What We Offer

• A role with genuine career development potential in hedge fund compliance.
• Exposure to trading and investment activity across multiple jurisdictions.
• A collaborative and supportive team environment with direct access to senior professionals.
• Competitive compensation and benefits package.

Equal Opportunity Workplace

We are proud to be an equal opportunity workplace. We do not discriminate based upon race religion color national origin sex sexual orientation gender identity / expression age status as a protected veteran status as an individual with a disability or any other applicable legally protected characteristics.