Winterflood Securities
James Wharton is a seasoned professional with extensive experience in operations and compliance within the financial sector. Currently serving as the Head of Operations at Winterflood Securities since August 2016, James also holds the roles of Head of Custody Operations and Head of CASS Oversight (CF10a). Prior to this, James was the Group Head of Internal Control at Beaufort Securities Ltd, where responsibilities centered on governance and oversight of client assets. From January 2011 to March 2014, James led London Settlements and CASS oversight at Renaissance Capital, managing post-trade activities and regulatory reporting. Earlier experiences include project delivery and process management at Deutsche Bank, and serving as a Police Officer in the Metropolitan Police’s Chemical, Biological, Radiological and Nuclear Unit, as well as holding the position of Air Loadmaster in the Royal Air Force.
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Winterflood Securities
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Winterflood Securities is a leading market maker committed to providing liquidity and flexible execution services to retail brokers, asset managers and institutional investors. Winterflood’s strengths are a combination of traditional trading values and the performance of our own cutting edge technology. Our experienced team of traders helps clients achieve high quality execution in over 15,000 tradable instruments including UK, European and North American Equities together with Investment Trusts, Exchange Traded Products, Fixed Income, Structured Products and Funds. Founded in 1988, Winterflood has gone from being a niche market maker in the UK Small Cap market, to a mature, diverse and major liquidity provider across multiple asset classes in the UK and European markets. Winterflood is authorised and regulated by the Financial Conduct Authority. Winterflood Securities is a wholly-owned subsidiary of Close Brothers Group plc, a specialist financial services group which makes loans, takes deposits, trades securities and provides advice and investment management solutions to a wide range of clients. Close Brothers Group plc is listed on the London Stock Exchange and is a member of the FTSE 250.