- Provide technical knowledge and advice, with strong working knowledge of regulation as well as familiarity with internal systems, processes and procedures ensuring that these fit together in a complex controls environment.
- Develop effective partnerships with the front office personnel, Compliance colleagues and other Infrastructure areas to ensure consistency of compliance advice to the business.
- Assist in annual regulatory and SRO examinations (e.g., SEC, FINRA, and NFA) and responding to regulatory inquiries that pertain to equity market matters.
- Advise front office and support functions (technology, middle- and back- office departments) on implementation of regulatory initiatives.
- Assist with the implementation and maintenance of the Firm's trade surveillance program.
- Initiate KYC review requests and manage the process for such requests, which are then completed by an external vendor.
- Assess design and operating effectiveness of processes around KYC onboarding and remediation, enhance due diligence and screening.
- Work closely with front/middle office teams to ensure the necessary coordination, reporting and transparency with key stakeholders in order to meet periodic deadlines
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Qualifications:
5+ years minimally in the compliance field
Experience with SEC, CBOE, FINRA, and other SRO rules and regulations that impact equity, listed options, fixed income, and futures products.
Thorough understanding of ACT and OATS reporting requirements.
Electronic trading platform experience.
Ability to quickly develop a deep knowledge of the company, industry, products and services.
Communicate and present concisely and effectively based on appropriate level of management interaction.
Manage competing deadlines and prioritize responsibilities to effectively meet business needs.
Work both independently and as part of a team at all levels and across all business units.
Demonstrate an understanding of business processes, internal control risk management, IT controls, and how they interact together.
Confident ability to drive tasks through to completion.
Excellent problem solving, planning and analytical skills.
Strong documentation skills required.
College Degree is essential.
Excellent problem solving, planning and analytical skills.
Strong documentation skills required.
Tradeweb is a leading, multi-asset class, electronic trading venue for fixed income, derivatives and ETFs. Tradeweb offers institutional, wholesale and retail market participants unparalleled liquidity, cutting-edge technology and a broad range of data solutions that deliver better price discovery, order execution and trade workflows. The company serves more than 2,000 clients including banks, mutual funds, hedge funds, pension funds, insurance companies, central banks, corporates, inter-dealer brokers, brokers, financial advisors and registered investment advisors in over 50 countries across the Americas, Europe and Asia. Tradeweb operates trading platforms in more than 25 products including government bonds, mortgages, corporate bonds, municipal bonds, interest rate swaps, credit defaults swaps rates, repurchase agreements and equity derivatives. In an average trading day, Tradeweb facilitates more than $525 billion in notional value traded.
Tradeweb Markets LLC (\"Tradeweb\") is proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer.
https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf
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