Chief Compliance Officer

3 weeks ago

New York, New York, United States Tradeweb Markets Full time
Job Description

You will have strong analytical, process management and communication skills with a proven ability to work with cross-functional teams.

As the Chief Compliance Officer, you will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations.

You will be responsible for preparing regulatory submissions, and coordinating responses to inquiries from regulatory authorities.

You will also monitor changes in regulations and communicate their impact on the organization to stakeholders.

Strong attention to detail, excellent communication skills, and a thorough understanding of regulatory requirements are essential for this role.

You will provide compliance advice in a fast-paced business setting, with the ability to prioritize and work in a highly dynamic and changing environment.

You will provide guidance and technical expertise that supports the design, implementation, and oversight of the compliance program established to support the broker-dealer.

You will monitor and act upon regulatory developments relating to Compliance Risks and associated regulatory obligations, including relevant SEC, FINRA, and state rules.

Job Responsibilities

As the Chief Compliance Officer, you will maintain and establish standards and implement procedures to ensure that the broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting, and remediating regulatory issues.

You will oversee the broker-dealer compliance program functions, including the implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, and AML compliance.

You will manage the Firm's FINRA Gateway filings (i.e., Forms BR, BD, U4s, U5, etc.), coordinate efforts related to broker-dealer audits, inspections, reviews, and examinations, monitoring complaints and reporting as necessary.

You will manage all aspects of the Firm's AML compliance program, as outlined in FINRA Rule 3310.

You will work with various teams and departments, including Legal, Onboarding, Business Development, Relationship Management Support, and HR, to identify and address regulatory risks.

You will communicate compliance issues and trends and provide routine compliance reports to management.

You will provide reactive and proactive advice on internal policies to colleagues, supporting our compliance culture at Tradeweb.

You will monitor and oversee the completion of periodic regulatory reporting requirements on behalf of the compliance function.

You will work with relevant legal entity compliance officers, ensuring our policies and documents are reviewed and updated at the required cadence.

You will work with risk management colleagues to track incidents and monitor remediation work.

You will be flexible and willing to take on projects that arise from time-to-time, for example, license applications.

Qualifications

A Bachelor's degree is required.

A Series 7 and 24 license is required.

A minimum of ten years of experience working in a compliance-related role within a financial services firm in the role of a CCO or similar senior role supporting a broker-dealer is required.

A strong understanding of regulatory and self-regulatory agencies' rules and regulations, specifically FINRA and SEC rules and regulations, is required.

Knowledge and experience with industry best practices in compliance management are required.

The ability to read and interpret regulations and implement changes, particularly as it relates to broker-dealer compliance, is required.

Strong written and verbal communication skills are required.

Project management and/or demonstrable organizational skills, with a willingness and capability to handle multiple projects at one time, are required.

The ability to present reasoned recommendations and provide guidance on internal policies to business stakeholders as questions arise is required.

Skills/Attributes

Experience ideally gained in brokerages, securities trading, regulator, or exchange environments, with a strong knowledge of relevant regulations, is required.

ATS experience and TRACE reporting experience is a plus.

The ability to interact professionally and effectively with a diverse group, including business colleagues and other corporate functions, notably Legal, risk management, human resources, and finance (regulatory capital and audit colleagues), is required.

The ability to maintain and continuously influence good corporate culture and ethics, be a self-starter, and be able to work independently is required.

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