Compliance Officer

3 weeks ago

New York, New York, United States Tradeweb Full time
Job Title: Compliance Officer - Financial Markets

Tradeweb is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our company adheres to all relevant regulations and laws.

Key Responsibilities:
  • Execute frequent compliance controls across key areas of the compliance program to meet our regulatory requirements.
  • Manage and escalate key findings and areas of improvement to members of senior management within compliance.
  • Monitor and oversee the completion of periodic key risk and performance metrics on behalf of the compliance function.
  • Work with relevant legal entity compliance officers to ensure our policies and documents are reviewed and updated at the required cadence.
  • Improve and routinely prepare compliance management information for use by the Head of Compliance in governance fora.
  • Work with risk management colleagues to track incidents and monitor remediation work.
  • Be 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-occurring Compliance processes.
Requirements:
  • 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
What We Offer:
  • Competitive salary and benefits package
  • Opportunities for professional growth and development
  • A dynamic and collaborative work environment
  • Recognition and rewards for outstanding performance

Tradeweb is an equal opportunities employer and welcomes applications from all qualified candidates. We are committed to diversity and inclusion in the workplace and are an affirmative action employer. We are proud to be a part of the fintech industry and are looking for talented individuals to join our team.

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