Compliance Officer

    • Tokyo, Japan


Group Details:

The International Compliance department comprises teams of compliance officers in London, Amsterdam and Tokyo. The department is part of the second line of defence, and we provide governance, regulatory risk and compliance leadership to Tradeweb's senior management across three legal entities and two branches throughout the region. We provide general and technical advice and support, and through constructive challenge we help ensure that the business continues to comply with new and existing laws and regulations. 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, SFC, MAS, JFSA & JSDA, and ASIC. In addition to advisory and regulatory relationship work we conduct compliance operations work such as trade monitoring, record keeping, internal approvals and periodic regulatory reporting .

Job Responsibilities:

Operational:

  • Responsible for the regulatory monitoring requirements and submit the periodical and ad hoc reports in the timely manner.
  • Develop, review, and amend compliance policies and procedures.
  • Provide day-to-day compliance support to the management team.
  • Deliver compliance training and day-to-day advice to staff, to help management maintain a strong culture of regulatory compliance.
  • Regularly conduct self-audit of company procedures, practices, and documents to identify possible weakness or risk, and areas for improvement.
  • Prepare and presenting clear and concise compliance reports to the management.
  • Ensure that there is an effective financial crime compliance framework, for example in relation to customer on-boarding.
  • Manage regulatory compliance approvals and ensure all records are retained appropriately.


Strategic:
  • Comfortable working and coordinating within an international compliance team and framework with an inquisitive mind, and keen to understand regulations in other jurisdictions (especially in Asia).
  • Review, update and implement an effective annual compliance program for Tradeweb's Japan business.
  • Mange any inspections and audits conducted by the regulators or self-regulatory bodies.
  • Create and manage effective action plans in response to inspection or audit discoveries, ensuring that risks identified are tracked, reported internally and remediated effectively.
  • Interacting with regulators on compliance issues, as necessary.
  • Provide pragmatic compliance advice to management about business development initiatives in Japan and where possible, throughout the Asia region.



Qualifications:

  • Legal degree or previous years' experience in Compliance role(s) - can read and interpret the Law and the regulations.
  • Ability to prioritise work effectively with robust admin skills.
  • Service and results orientated.
  • Team player & strong independent worker with ability to take ownership & responsibility.
  • Native in Japanese and Fluent in English (Business level).
  • Bachelor's degree in law is ideal, and minimum 3 years proven experience in a compliance officer role in financial industries, ideally in securities firm.
  • Good knowledge of legal requirements and procedures in Financial sector.


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 .


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