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Tradeweb is looking for a Director of Compliance for Tradeweb International, based in London. You will be a senior member of the international compliance team, with reporting lines to the International Head of Compliance. As a member of the International Compliance Team you will be responsible for managing all assigned aspects of regulatory compliance and governance for Tradeweb’s International business.

You will have strong regulatory knowledge and experience, which you will use to advise senior management about our compliance obligations, ensuring the business can continue to grow at pace, but safely. To succeed, you will need to be a team-player, pragmatic, and be able to maintain good relationships of trust with senior management and our regulators.

The compliance department also maintains Tradeweb’s relationship with all regulators in the region, ensuring that the relationship is open and cooperative; we manage and coordinate all regulatory interactions and filings including with the FCA, AFM, HK SFC, MAS, JFSA & JSDA, and ASIC.

Job Responsibilities

• Manage the regulatory risk profile of the Tradeweb International business and operations, including providing pragmatic recommendations to senior business and corporate function stakeholders

• Support new product development work across all product lines (regulatory advisory and control implementation) and complete associated regulatory filings, where required

• Maintain strong and co-operative relationships with our regulators

• Manage and participate in Tradeweb’s corporate and risk governance

• Monitor the day-to-day company operations to ensure compliance with applicable laws, rules, and regulations for Tradeweb’s International business

• Assess risks and identify potential areas of compliance vulnerability, develop and implement corrective action plans for resolution of problematic issues, and provide guidance on how to avoid or deal with similar situations in the future

• Maintain and improve Tradeweb’s policies and procedures, ensuring regional consistency and continuous improvement

• Work closely with individuals overseas and actively contribute to the delivery of the International compliance programme

Qualifications / Skills

• Good knowledge of relevant regulations, notably UK and EU requirements relevant to Trading Venues and Data Reporting Service Providers, and able to apply these in relevant product/commercial scenarios

• Project management and organisational skills, with a willingness and capability to handle multiple projects at one time

• Excellent research and analytical skills, and able to present conclusions effectively given the intended audience and context

• Experience ideally gained in brokerages, securities trading, regulator or exchange environments, with a strong knowledge of relevant regulations

• You must be able to interact professionally and effectively with a diverse group including senior business leaders and corporate function managers, and be able to influence outcomes

• Excellent understanding of the regulatory environment, the impact on Tradeweb and how to develop, improve and execute effective compliance programmes

• Dedication to maintaining and continuously influencing good corporate culture and ethics, be a self-starter, and be able to work independently

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 clients -- in 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

Private Policy Statement Link:

https://www2.tradeweb.com/l/105492/2021-05-05/h7v2kl/105492/1620231674fqv9j2ci/Tradeweb_EU_Applicant_Privacy_Policy.pdf

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