Senior Compliance Officer

Company Description
Tradeweb is a global leader in electronic trading for rates, credit, equities, and money markets. 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 $2.2 trillion over the past four fiscal quarters, topping $2.5 trillion in ADV for the first quarter of 2025.

Since our IPO in 2019, Tradeweb has completed four acquisitions and doubled our revenues - and 2024 was our 25th consecutive year of record revenues.

Tradeweb is a great place to work, recognized in 2024 by Forbes as one of America's Best Companies (2024) and by U.S. News & World Report as one of the Best Financial Services Companies to Work For .

Tradeweb Markets LLC ("Tradeweb") is proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer.

Mission: Move first and never stop. Collaborate with clients to create and build solutions that drive efficiency, connectivity, and transparency in electronic trading.
https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf

• Executing frequent compliance controls across key areas of the compliance program to meet our regulatory requirements.
• Execute day-to-day compliance controls across key areas of the compliance program to support adherence to applicable regulatory requirements and internal policies.
• Administer personal account dealing controls, including employee trade monitoring, pre-clearance reviews, exception handling, and recordkeeping in line with firm standards.
• Perform ongoing surveillance of electronic communications in line with firm policies, including exception handling and escalation.
• Assist with the tracking, documentation, and coordination of responses to regulatory inquiries and requests.
• 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-occuring Compliance processes.

• 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 a good knowledge of relevant regulations in addition to a desire to continue learning and expanding your regulatory and product.
• 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 and legal
• 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
• 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