Tradeweb is seeking a Compliance Analyst, a position that will report to the US Head of Compliance. This role will assist the Head of Compliance with developing and enhancing the Firm's overall compliance program to ensure that the company is complying with regulatory requirements and that employees are complying with internal policies and procedures.
Description of the Position:
The Compliance Analyst will be responsible for assisting with the auditing, developing and enforcing compliance processes and procedures, as well as responding to information requests and scheduled filings with all regulatory agencies. This role will also be responsible for implementing surveillance tools for Tradeweb's markets.
- Assist with the creation, implementation, and management of the compliance governance framework.
- Participate in the improvement and maintenance of applicable policies and procedures.
- Assist with new product development and associated regulatory filings
- Assess risks and identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide guidance on how to avoid or deal with similar situations in the future.
- In conjunction with senior business line compliance professionals, implement and enhance market surveillance tools.
- Interact professionally and effectively with a diverse group including executives, legal, managers, business and operational leaders, registered representatives and subject matter experts.
- Maintain current knowledge and awareness of SEC, CFTC, FINRA, and NFA regulations and rules.
- Liaise with regulatory service providers.
- Internal and external subject matter expert for Tradeweb's market transparency and compliance solutions.
- Respond to regulatory information requests.
- Attend industry conferences to acquire new market and compliance knowledge.
- Filing all required regulatory documents and reports.
- Minimum of a Bachelor's degree with 3-5 years of experience.
- Currently working in compliance; fixed income experience preferred
- In addition, this candidate must be collaborative, possess strong interpersonal skills, be diligent and self directed.
About the Company:
Tradeweb Markets builds and operates many of the world's most efficient financial marketplaces, providing market participants with greater transparency and efficiency in fixed income and derivatives. Focused on applying technology to enhance efficiency throughout the trade lifecycle, Tradeweb pioneered straight-through-processing in fixed income and now supports marketplaces for over 20 asset classes with electronic execution, processing, post-trade analysis and market data in an integrated workflow. Customers rely on Tradeweb to drive the evolution of fixed income and derivatives through flexible trading architecture and more efficient, transparent markets.
Meet Some of Tradeweb's Employees
Head of Sales & Relationship Management, Tradeweb Direct
Amanda leads the Sales Teams at Tradeweb Direct — one focused on middle-market clients, and the other facilitating transactions on the retail market. She sets the sales strategy for growing the business and building and developing opportunities to bring products to new clients.
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