Regulatory specialist Jobs in Newark, NJ

Job Description

Company Description

Tradeweb Markets is a world leader in the evolution of electronic trading. A fintech company serving approximately 2,500 clients - including the world's largest banks, asset managers, hedge funds, insurance companies, wealth managers and retail clientsin more than 65 countries across the globe. Since our first trade in 1998, we have helped transform and electronify the fixed income markets. Tradeweb is a culture built on innovation, creativity and collaboration. Through a combination of very talented and driven people, innovative products and solutions, cutting-edge technology, market data, and a vast network of clients, we continue to work together to improve the way financial markets trade.

Mission : Move first and never stop. Collaborate with clients to create and build solutions that drive efficiency, connectivity, and transparency in electronic trading.

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

Group Details

Tradeweb is looking for a US Regulatory Reporting Specialist that will be responsible for the regulatory reporting for all US regulated entities, which presently consists of four broker dealers and two swap execution facilities (SEFs). This position reports directly to the Head of Regulatory Reporting and Technical Accounting, with significant exposure to the Chief Accounting Officer. He / she will be part of a high-performing team and will be expected to lead, take ownership of his / her areas of responsibility and ensure accurate and timely completion of the Company's reporting requirements. This role will provide a variety of opportunities to be visible within the company. The ideal candidate will also have an interest in pursuing a Series 27 and continuing to develop their regulatory reporting expertise.

Tradeweb's Global Regulatory and Statutory Reporting Group is part of the overall Accounting department within Tradeweb. It is responsible for preparing monthly, quarterly and annual filings with the relevant regulators in the jurisdictions in which the regulated entities operate as well as the annual financial statements. It is also responsible for making sure Tradeweb's regulated entities are in compliance with regulatory capital requirements and other financial related regulatory requirements. The Global Regulatory and Statutory Reporting Group operates in a fast-paced, deadline-driven environment and manages multiple projects concurrently.

Job Responsibilities

• Prepare monthly and quarterly FOCUS reports for all US broker dealers and financial resource reports for all SEFs
• Prepare other regulatory reports including Form ATS-R and Form 17-H
• Draft annual financial statements for all US broker dealers
• Monitor regulatory capital balances and prepare regulatory capital reports for inclusion in the consolidated public company SEC filings as well as treasury department reporting
• Review and analyze regulated entity trial balances, including performing detailed analytics on a monthly basis to help ensure completeness and accuracy of standalone entity reporting
• Assist with preparing control documentation for processes for the US regulated entities
• Prepare other reports and analyses as required for accounting, tax or SEC reporting
• Coordinate with external auditors in connection with annual audits
• Opportunity to contribute to other ad-hoc finance wide projects as capacity allows

Qualifications

Additional Information

Tradeweb is committed to providing valuable and competitive benefits. In addition to working in our culture of innovation and collaboration, we offer :

Other Benefit Programs