Group Details

Tradeweb is looking for a junior compliance officer to support our European (EU & UK) compliance programmes. You will provide support for our international compliance function, with a reporting line to a supportive and experienced compliance officer based in Amsterdam. 

You will have a high level understanding of regulation and a desire to take on a variety of tasks including advise colleagues about internal policies, draft good quality policy and compliance documents, track incidents and risk mitigation work, and organise periodic reporting. Depending on any subject matter expertise you may have you may be expected to take a lead on specific aspects of our overall programme. This is a broad and varied role, with a combination of important Compliance processes and ad-hoc compliance program development work  including lots of opportunity to take the next step in your career and make a difference across many compliance topics.

To succeed, you will need to be a team-player, pragmatic, and be able to maintain good relationships of trust with colleagues. You will need to be flexible enough to deal with a variety of day-to-day enquiries/tasks/approvals (be hands on), whilst also able to draft important documents such as policies, management information and regulator communications (be detail oriented) working to and managing a variety of deadlines. 

Outside of compliance, you should expect to work most closely with enterprise risk management colleagues (to track and mitigate incidents/regulatory risks) and finance (to support inbound audit requests and monitor regulatory reporting).

This is a hands-on role which would suit someone who works at pace, is detail orientated, flexible, and adaptable. 

As an inclusive team we want to hear from everyone with the relevant skills and interest. 

Job Responsibilities

Providing reactive advise on internal policies to colleagues, supporting our compliance culture at Tradeweb  Managing approvals on behalf of the compliance function, recommend improvements to our procedures and implement improvements Monitoring and overseeing the completion of periodic regulatory reporting requirements 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 Supporting us to maintain strong and co-operative relationships with our European regulators by tracking deliverables and drafting initial correspondence, where appropriate 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, for example licence applications Be comfortable with responsibility for a number of re-occuring Compliance processes.

Requirements

Bachelor’s Degree Good knowledge of relevant regulations, notably UK and EU requirements relevant to Trading Venues, and able to interpret and apply these to day-to-day operational and policy work; you must be able and confident to provide reasoned opinions and recommendation to compliance colleagues and support the development of our positions to other stakeholders. Good project management and/or demonstrable organisational skills, with a willingness and capability to handle multiple projects at one time.  Excellent research and analytical skills, and able to present reasoned recommendations to compliance and risk colleagues, and to provide guidance on internal policies to business stakeholders as questions arise.

Skills / Attributes

You will have experience ideally gained in brokerages, securities trading, regulator or exchange environments, with a good knowledge of relevant regulations in addition to a desire to continue learning and expanding your regulatory and product. If you are a specialist you must be looking expand your horizons to make a difference in a broad range of markets infrastructure compliance topics, and you will need to demonstrate a willingness and the skills to grasp new subjects quickly  You must be able to interact professionally and effectively with a diverse group including business colleagues and other corporate function, notably risk management, human resources, finance (regulatory capital and audit colleagues), and legal You will be resilient, proactive and sufficiently organised to help keep the EU and UK trading venue compliance deliverables on track You will need to have a 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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