Head of Trading & Markets Compliance

Job Summary

We are hiring a Head of Trading and Markets Compliance, who will report directly to the Chief Compliance Officer. The successful applicant will manage all aspects of Winton’s trading and markets compliance programme, acting as the primary contact for Winton's Execution, Middle Office, Strategy Management, Research and Technology teams. The role will include mentoring and training of Compliance team members and will involve significant senior management engagement.

Winton is a global investment management and data science company. Founded by its CEO David Harding in 1997, Winton’s business is grounded in the belief that the scientific method can be profitably applied to the field of investing. The firm aims to help savers and institutional clients meet their investing goals by building intelligent, long-term investment systems that evolve as markets change. Winton employs more than 300 people in eight offices around the world and manages approximately $28 billion of assets for many of the world’s largest pension funds, sovereign wealth funds, banks and fund platforms.

Role Description

We are hiring a Head of Trading and Markets Compliance, who will report directly to the Chief Compliance Officer. The successful applicant will manage all aspects of Winton’s trading and markets compliance programme, acting as the primary contact for Winton's Execution, Middle Office, Strategy Management, Research and Technology teams. The role will include mentoring and training of Compliance team members and will involve significant senior management engagement. 

 

Key Responsibilities

 

You will operate independently, identifying and implementing emerging best practices, monitoring global regulatory developments and overseeing the development of Winton's compliance monitoring programme. Responsibilities will evolve but are likely to include:

  • Providing regulatory advice to the business in respect of new investment strategies and trading signals.
  • Designing and implementing processes for the review and oversight of new markets, instruments and trading signals.
  • Regulatory guidance for overseas trading entities (for example, China).
  • Assisting Winton's Data Governance team with regulatory guidance on alternative data governance and reviewing new datasets.
  • Assisting the firm in developing best practice execution metrics.
  • Oversight and monitoring of allocation algorithms.
  • Providing advice and monitoring of exchange rules (such as position limits).
  • Advising the business on algorithmic trading guidelines and regulations and tailoring such requirements to Winton’s business.
  • Developing and enhancing Winton’s market abuse surveillance, reviewing surveillance parameters and supervising the surveillance undertaken by Winton's Risk team.
  • Undertaking annual market abuse risk assessments.
  • Providing tailored face-to-face training to Winton's Strategy Managers, Execution, Research and support staff.
  • Acting as a primary contact for regulatory and exchange queries relating to trading activities.
  • Advising the business on regulatory requirements relating to its single-stock equities trading, including the provision of advice on long and short disclosures.
  • Assisting in the design and implementation of electronic communications surveillance.
  • Analysing and providing management information on trading errors and process exceptions.
  • Developing any policies and procedures relating to trading.
  • Taking a proactive approach with thematic reviews relating to trading and markets compliance.
  • Supporting Winton's CCO in client operational due diligence meetings.
  • Assisting Winton's CCO in preparing the firm for regulatory examinations.

Winton provides an attractive compensation structure, generous benefits package and the environment to excel within a leading, quantitative investment management company.

London, England, United Kingdom London England GB