Group Details

Tradeweb is looking for a junior compliance officer to support our European (EU & UK) compliance programmes. You will provide support for our international compliance function, with a reporting line to a supportive and experienced compliance officer based in Amsterdam.

You will have a high level understanding of regulation and a desire to take on a variety of tasks including advise colleagues about internal policies, draft good quality policy and compliance documents, track incidents and risk mitigation work, and organise periodic reporting. Depending on any subject matter expertise you may have you may be expected to take a lead on specific aspects of our overall programme. This is a broad and varied role, with a combination of important Compliance processes and ad-hoc compliance program development work including lots of opportunity to take the next step in your career and make a difference across many compliance topics.

• Providing reactive advise on internal policies to colleagues, supporting our compliance culture at Tradeweb
• Managing approvals on behalf of the compliance function, recommend improvements to our procedures and implement improvements
• Monitoring and overseeing the completion of periodic regulatory reporting requirements 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
• Supporting us to maintain strong and co-operative relationships with our European regulators by tracking deliverables and drafting initial correspondence, where appropriate
• 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, for example licence applications
• Be comfortable with responsibility for a number of re-occuring Compliance processes.

• Bachelor's Degree
• Good knowledge of relevant regulations, notably UK and EU requirements relevant to Trading Venues, and able to interpret and apply these to day-to-day operational and policy work; you must be able and confident to provide reasoned opinions and recommendation to compliance colleagues and support the development of our positions to other stakeholders.
• Good project management and/or demonstrable organisational skills, with a willingness and capability to handle multiple projects at one time.
• Excellent research and analytical skills, and able to present reasoned recommendations to compliance and risk colleagues, and to provide guidance on internal policies to business stakeholders as questions arise.

• 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.
• If you are a specialist you must be looking expand your horizons to make a difference in a broad range of markets infrastructure compliance topics, and you will need to demonstrate a willingness and the skills to grasp new subjects quickly
• 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 (regulatory capital and audit colleagues), and legal
• You will be resilient, proactive and sufficiently organised to help keep the EU and UK trading venue compliance deliverables on track
• 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