Compliance Manager

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 and by U.S. News & World Report as one of the Best Financial Services Companies to Work For.

Mission: Move first and never stop. Collaborate with clients to create and build solutions that drive efficiency, connectivity, and transparency in electronic trading.

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 defense, 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:

Operational:

• Responsible for the regulatory monitoring requirements and submit the periodical and ad hoc reports in the timely manner.
• Develop, review, and amend compliance policies and procedures.
• Provide day-to-day compliance support to the management team.
• Deliver compliance training and day-to-day advice to staff, to help management maintain a strong culture of regulatory compliance. 
• Regularly conduct self-audit of company procedures, practices, and documents to identify possible weakness or risk, and areas for improvement.
• Prepare and presenting clear and concise compliance reports to the management.
• Ensure that there is an effective financial crime compliance framework, for example in relation to customer on-boarding.
• Manage regulatory compliance approvals and ensure all records are retained appropriately.  

Strategic:

• Comfortable working and coordinating within an international compliance team and framework with an inquisitive mind, and keen to understand regulations in other jurisdictions (especially in Asia).
• Review, update and implement an effective annual compliance program for Tradeweb's Singapore business.
• Mange any inspections and audits conducted by the regulators or self-regulatory bodies.
• Create and manage effective action plans in response to inspection or audit discoveries, ensuring that risks identified are tracked, reported internally and remediated effectively.
• Interacting with regulators on compliance issues, as necessary.
• Provide pragmatic compliance advice to management about business development initiatives in Singapore and where possible, throughout the Asia region.
• Keep track of revisions of relevant laws and regulations and manage such changes by applying these to the company policies and procedures, as necessary.

Required Qualifications:

• Legal degree or previous years' experience in Compliance role(s) – can read and interpret the Law and the regulations. 
• Ability to prioritize work effectively with robust admin skills.
• Service and results orientated. 
• Team player & strong independent worker with ability to take ownership & responsibility.
• Fluent in English
• Bachelor's degree in law is ideal, and minimum 7 years proven experience in a compliance officer role in financial industries, ideally within MAS regulated entities (e.g. Recognized Market Operator License or Capital Markets Services License)
• Strong knowledge of legal and regulatory requirements and procedures in the Singaporean Financial Markets sector (e.g. Securities and Futures Act 2001, associated regulations and MAS guidelines).

Private Policy Statement Link:

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