Head of Investment Compliance

London, United Kingdom

We are hiring a Head of Investment Compliance, who will report directly to the Chief Compliance Officer. The successful applicant will manage all aspects of Winton’s investment compliance programme, acting as the primary contact for the Execution, Middle Office, Strategy Management/Research, and Investment Technology teams. The role 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:


  • Regulatory guidance on new strategies, asset classes and execution channels.
  • Assisting Middle Office with the reporting of long and short equity positions.
  • Undertaking daily market abuse surveillance and developing surveillance logic.
  • Advising the business on transaction reporting requirements (e.g. EMIR reporting).
  • Primary contact for regulatory and exchange queries relating to trading activities.
  • Reviewing new data inputs into the investment strategies.
  • Assisting Middle Office with the sanctions screening process for the investment strategies.
  • Reviewing trade errors and process exceptions/model errors.
  • Representing compliance at the best execution committee and associated monitoring.
  • Providing advice on rules associated with trading venues.
  • Providing advice on the application of algorithmic trading rules.
  • Undertaking the annual market abuse risk assessment.
  • Liasing with the China Compliance team on investment compliance matters.
  • Representing investment compliance at the ESG Committee.
  • Representing the firm at industry bodies (e.g. MFA, AIMA).
  • Supporting the CCO in client operational due diligence meetings.
  • Assisting the CCO in preparing the firm for regulatory examinations.
  • Monitoring and implementing relevant global regulatory developments.


What we're looking for:

  • Strong academic achievement and background.
  • 7 + years Compliance experience preferably at a hedge fund or proprietary trading firm.
  • Some exposure to systematic investment management and/or algorithmic trading.
  • Technical knowledge and direct exposure of advising on equities and futures.
  • Experience using technology in a compliance role (knowledge of SQL and/or Python desirable).
  • Experience using Bloomberg/Reuters.
  • Experience using market abuse surveillance systems.

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

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.

Our recruitment process

Our assessment and selection processes are aimed at you showcasing your abilities rather than passing arbitrary tests. They are designed according to the requirements of our teams to identify the skills and attributes we seek. A member of our recruitment team will work with you throughout the process, guiding you at each stage.


Your application will be viewed by a member of our Human Capital team.

Video and onsite Interviews

We will invite you to our offices for interviews with individuals from inside and outside the team you will join.

Phone Interview

Your background and suitability for the role will be assessed by a member of our Human Capital team.


A member of our recruitment team will talk you through the offer details including compensation, benefits, role responsibilities and future career paths.


You may be asked to complete a technical assessment and/or case study.