Compliance Associate

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 world's major liquid asset classes. Founded in 1997 by David Harding, Winton today manages assets for some of the world’s 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 disclosures. In parallel, the successful candidate will provide monitoring and administrative support across the wider compliance function, with a particular emphasis on the firm’s 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 will include: 

•  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. 
  • Initial review of Best Execution monitoring and liaison with the Execution team as needed.
  •  Responsibility for the onboarding and ongoing maintenance of Alpha Capture Contributors.
  • Reviewing world-check alerts for the firm’s client relationships.
  • Monitoring tasks associated with employee-related compliance: 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 firm’s short position disclosures, working closely with the Head of Trading and Markets Compliance to ensure timely and accurate reporting.
  • 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.
  • 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 + years 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.