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Tradeweb Markets
,
London, Greater London
Compliance Analyst
Overview
Job Description
The International compliance department is looking for a highly organised and proactive individual to operate (and help to continuously improve) integrated surveillance and monitoring procedures covering: market surveillance; anti-money laundering (KYC on-boarding); anti-bribery and corruption (entertainment / personal account dealing); and sanctions controls. This is a London-based role, reporting to the Head of Compliance. It is an important core compliance role and is a great opportunity to develop a compliance career within a fast growing and innovative company Group Details: The International Compliance team is relied upon by the business to provide independent monitoring, regulatory advice and guidance on a wide range of matters. Approachable, dynamic, and collaborative, the team is involved in numerous business-critical functions, for example market surveillance, anti-money laundering and sanctions screening work, real time advice on rules and market practice, client on-boarding, working closely with our regulators, supporting new product and protocol roll out, conducting training, and managing regulatory change projects. We're a highly visible team which is critical to: identify and mitigate regulatory and other risks; maintain cooperative and effective relationships with global regulators; and support good governance throughout the firm. Job Responsibilities: * Conduct market surveillance for our United Kingdom & Netherlands markets and raise exceptions to the Head of Surveillance; * In particular, monitor order and trade activity to identify behaviour which may be indicative of market abuse, or other behaviour which may damage the integrity of our markets; * Monitor email and telephone communications to support market surveillance investigations, and to identify internal policy breaches; * Be responsible for compliance checks for participant / client on-boarding and monitor on-going risk screening, raising exceptions and views on the firm's financial crime risk profile to the Deputy MLRO; * Maintain oversight of sanctioned instrument procedures and ensure they operate effectively; * Review and approve personal account dealing and gift / entertainment requests, and monitor compliance with internal policies; * Prepare reports on surveillance and monitoring activities, exceptions and risks, and discuss these with the Head of Compliance each month. You should expect to be active member of the International compliance team and therefore also be included in numerous regulatory projects (throughout the International business) to strengthen the firm's control environment and support the business. Required Qualifications: * Dedicated and committed to the highest ethical conduct in all of your dealings and a confident internal advocate for regulatory compliance; * Bachelor's degree with relevant experience in some but not necessarily all of the above responsibilities; * Notably, some (but not necessarily extensive) experience in market surveillance and other financial crime policies and procedures; * Knowledge of financial crime regulatory requirements applicable to investment firms operating trading venues and brokerage businesses; * Can demonstrate a knowledge of some (but not all) asset classes traded on Tradeweb and an interest in continuing to learn about new products; * Ability to handle and manage large data and to think critically; * Able to develop and deliver good quality periodic reporting which will be used to brief senior management; * Be extremely organised, a good relationship builder, and enthusiastic. About Tradeweb: Tradeweb Markets Inc. (NASDAQ: TW) is a leading, global operator of electronic marketplaces for rates, credit, equities and money markets. Founded in 1996, Tradeweb provides access to markets, data and analytics, electronic trading, straight-through-processing and reporting for clients in the institutional, wholesale and retail markets. Advanced technologies developed by Tradeweb enhance price discovery, order execution and trade workflows while allowing for greater scale and helping to reduce risks in client trading operations. For more information, please go to www.tradeweb.com .