Broker Dealer Chief Compliance Officer

You will have strong analytical, process management and communication skills with a proven ability to work with cross functional teams.
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 or 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 and 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 broker-dealer CCO, the successful candidate 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.
  
• Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring and AML compliance
• Manage the Firms' 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
• Manage all aspects of the Firm's AML compliance program, as outlined in FINRA Rule 3310
• Work with various team and departments including Legal, Onboarding, Business Development, Relationship Management Support, and HR to identify and address regulatory risks
• Communicate compliance issues and trends and provide routine compliance reports to management
• Provide reactive and proactive advice on internal policies to colleagues, supporting our compliance culture at Tradeweb
• Monitor and oversee the completion of periodic regulatory reporting requirements on behalf of the compliance function
• Work with relevant legal entity compliance officers, ensure our policies and documents are reviewed and updated at the required cadence
• 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, for example licence applications

• Bachelor's degree required
• Series 7, 24 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.
  
• Strong understanding of regulatory and self-regulatory agencies rules and regulations, specifically FINRA and SEC rules and regulations
• Knowledge and experience with industry best practices in compliance management
• Ability to read and interpret regulations, and implement changes, particularly as it relates to broker-dealer compliance
• Strong written and verbal communication skills
• Project management and/or demonstrable organizational skills, with a willingness and capability to handle multiple projects at one time.
  
• Ability to present reasoned recommendations 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 strong knowledge of relevant regulations.
  ATS experience and TRACE reporting experience is a plus.
  
• You must be able 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)
• You will need to maintain and continuously influence good corporate culture and ethics, be a self-starter, and be able to work independently

• Health Insurance :
  Highly competitive medical, dental, and vision programs
• Hybrid Environment :
  Our employees have the flexibility of working in the office and from home.
  
• Health Care and Dependent Care Flexible Spending Accounts :
  You may elect to set aside pre-tax earnings to pay for eligible health care and dependent day care expenses for you and your eligible family members.
  
• Maven Family Building Benefit :
  Maven offers support for fertility and preconception; pregnancy and post-partum; adoption; surrogacy and pediatrics for children up to age 10.
  Tradeweb provide a $10,000 lifetime reimbursement towards fertility, egg freezing, adoption and surrogacy expenses.
  
• Building Wealth - 401(k) Savings Plan :
  Employees are immediately eligible for the 401(k) plan.
  Participants may contribute up to 75% of eligible compensation into a traditional 401(k) and/or Roth 401(k).
  Tradeweb will match 100% of the first 4% of compensation that you contribute.
  
• The current pay range for this role if performed in the city of New York is currently $140,000 to $300,000 per year, based on a regular, full-time schedule.
  The amount of pay offered will be determined by a number of factors, including but not limited to qualifications, market data, geographic location, and internal guidelines.
  

• Pre-Tax Commuter Benefits Program
• ARAG Legal Services
• Employee Assistance Program
• Tuition Reimbursement
• Financial Wellness Tools
• Travel Assistance Benefits
• Pet Insurance
• Corporate Gym Subsidies
• Wellness Perks
• Paid Time Off and Parental Leave