Compliance (Vice President)

Company Description
Tradeweb is a global leader in electronic trading across asset classes. As financial markets become increasingly interconnected, our technology enables efficient, multi-asset trading on a global scale. We serve more than 3,000 clients in more than 85 countries, including many of the world's largest banks, asset managers, hedge funds, insurers, corporations, and wealth managers.

Creative collaboration and sharp client focus have helped fuel our organic growth. We facilitated average daily trading volume (ADV) of more than $2.8 trillion over the past four fiscal quarters, topping $3.3 trillion in ADV for the first quarter of 2026.

Since our IPO in 2019, Tradeweb has completed four acquisitions and doubled our revenues - and 2025 was our 26th consecutive year of record revenues.

Tradeweb plays a central role in modernizing market structure by developing innovative trading protocols, embedding analytics into execution, and building technology infrastructure that supports the convergence of traditional and digitally native financial markets. Tradeweb is a great place to work, recognized in 2025 by Forbes as one of America's Best Companies and by U.S. News & World Report as one of the Best Financial Services Companies to Work For .

Workplace Posters | U.S. Department of Labor

As a technology-driven organization, we value individuals who embrace innovation and are eager to leverage emerging technologies, including AI, to improve efficiency, enhance decision-making, and deliver better outcomes for clients and colleagues. We believe the greatest impact comes from combining technological capabilities with human expertise, judgment, and accountability

Group Details

The International Compliance department comprises teams of compliance officers in London, Amsterdam, Sydney 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 multiple 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 - Compliance (75% allocation):

• Support the Japan Compliance Officer in developing and enhancing the Tradeweb Japan K.K. (TWJKK) compliance framework.

• Provide practical, risk-based compliance advice on business initiatives, new products and regulatory matters.

• Assist the Japan Compliance Officer in developing and executing the TWJKK Compliance Programme.

• Monitor regulatory developments and recommend policy and control enhancements.

• Promote a strong culture of ethics and regulatory compliance.

• Perform compliance monitoring activities and risk assessments.

• Prepare compliance reports and management information.

• Maintain compliance records and documentation.

• Escalate significant compliance issues to the Japan Compliance Officer.

• Support the Japan Compliance Officer in maintaining the AML and financial crime framework for TWJKK

• Assist in managing relationships with the JFSA, JSDA and other regulatory authorities.

• Support regulatory inspections, examinations, submissions and information requests.

• Coordinate periodic and ad hoc regulatory reporting.

• Maintain compliance policies, procedures and governance documentation.

Job Responsibilities - Legal (25% allocation):

• Provide TWJKK Legal support.

Qualifications

• Law degree required; Finance, Business or related discipline to supplement Legal degree preferred.

• 5 years+ compliance and/or legal experience within a local Japan financial services institution, especially a securities firm (including PTS operators)

• JSDA Internal Controls Manager certification

• JSDA Type 1 Sales Representative qualification (can be obtained with companies support after joining)