Core Compliance Officer

Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities globally. You will provide support for ensuring our compliance programs are being followed by our employees and upheld throughout our regulated entities globally. This role will have a reporting line to a supportive and experienced compliance officer based in New York. You will have a high-level understanding of regulation and a desire to take on a variety of tasks including executing compliance controls across the globe which uphold the standards set forth by the firm's compliance program. These will include core pillars of the compliance program such as, Personal Account Dealings, Training, Surveillance and monthly reporting to senior management. Depending on any subject matter expertise you may have, you may be expected to take a lead on specific aspects of our overall program. This is a broad and varied role, with compliance program development work, including opportunities to take the next step in your career and make a difference across many compliance topics. To succeed, you will need to be a pragmatic team-player, with the ability to develop strong and collaborative relationships across different teams. You will need to be flexible enough to deal with a variety of day-to-day inquiries/tasks/approvals and the role will require you to navigate, and problem solve with multiple teams and stakeholders bearing in mind timelines and a senior audience. Additionally, you should be able to persistently follow-up with colleagues/stakeholders to ensure that appropriate information is obtained and recorded timely to meet compliance standards. Outside of compliance, you should expect to work most closely with enterprise risk management colleagues (to track and mitigate incidents/regulatory risks) and members of senior management regarding monthly reporting and key risk/performance indicators. This is a hands-on role which would suit someone who works at pace, is detail orientated, flexible, and adaptable. Job Responsibilities Executing frequent compliance controls across key areas of the compliance program to meet our regulatory requirements. Managing and escalating key findings and areas of improvement to members of senior management within compliance Monitoring and overseeing the completion of periodic key risk and performance metrics on behalf of the compliance function Working with relevant legal entity compliance officers, to ensure our policies and documents are reviewed and updated at the required cadence Improving and routinely prepare compliance management information for use by the Head of Compliance in governance fora Working with risk management colleagues to track incidents and monitor remediation work Being flexible and willing to take on projects that arise from time-to-time across all areas of compliance Be comfortable with responsibility for a number of re-occurring Compliance processes. Qualifications Bachelor's Degree At least 4-8 years of relevant compliance experience with familiarity in financial products and markets Good project management and/or demonstrable organizational skills, with a willingness and capability to handle multiple projects at one time. Excellent reasoning and analytical skills, with the ability to present reasoned recommendations to compliance and risk colleagues, and to provide guidance on internal policies to business stakeholders as questions arise. Demonstrate very strong written and oral communication, as well as analytical abilities Be detail-oriented, so as to consistently produce accurate work product You will have experience ideally gained in brokerages, securities trading, regulator or exchange environments, with knowledge of relevant regulations in addition to a desire to continue learning and expanding your understanding of regulations and products. You must be able to interact professionally and effectively with a diverse group including business colleagues and other corporate functions, notably risk management, human resources, finance and legal You will need to have a commitment to maintaining and continuously influencing good corporate culture and ethics, be a self-starter, and be able to work independently Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm Demonstrate resiliency and creativity when under pressure and when managing time-sensitive demands from competing stakeholders Additional Information Tradeweb is committed to providing valuable and competitive benefits. In addition to working in our culture of innovation and collaboration, we offer: Health Insurance : Highly competitive medical, dental, and vision programs Hybrid Environment : Our employees have the flexibility of working in the office and from home. Health Care and Dependent Care Flexible Spending Accounts : You may elect to set aside pre-tax earnings to pay for eligible health care and dependent day care expenses for you and your eligible family members. Maven Family Building Benefit : Maven offers support for fertility and preconception; pregnancy and post-partum; adoption; surrogacy and pediatrics for children up to age 10. Tradeweb provide a $10,000 lifetime reimbursement towards fertility, egg freezing, adoption and surrogacy expenses. Building Wealth - 401(k) Savings Plan : Employees are immediately eligible for the 401(k) plan. Participants may contribute up to 75% of eligible compensation into a traditional 401(k) and/or Roth 401(k). Tradeweb will match 100% of the first 4% of compensation that you contribute. The current pay range for this role if performed in the city of New York is currently $90,000 to $240,000 per year, based on a regular, full-time schedule. The amount of pay offered will be determined by a number of factors, including but not limited to qualifications, market data, geographic location, and internal guidelines. Other Benefit Programs Pre-Tax Commuter Benefits Program ARAG Legal Services Employee Assistance Program Tuition Reimbursement Financial Wellness Tools Travel Assistance Benefits Pet Insurance Corporate Gym Subsidies Wellness Perks Paid Time Off and Parental Leave 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.

Created: 2024-10-19