Tradeweb is looking for a Director of Global Surveillance , based in London. You will be a senior member of the international compliance team, reporting to the international head of compliance (London). Your role involves managing all aspects of Tradeweb\’s surveillance activities.
Description
You should have extensive surveillance knowledge and experience across Fixed Income, Equities, and Derivatives markets, including RFQ and CLOB markets. Your expertise will guide senior management on regulatory obligations, supporting safe and compliant business growth.
Key qualities include being a team player, pragmatic, and capable of building trust with senior management and regulators. The compliance department manages regulatory relationships and filings with authorities such as FCA, AFM, HK SFC, MAS, JFSA & JSDA, and ASIC.
This strategic role requires hands-on involvement in compliance risk assessments, policy development, and regulatory filings.
Responsibilities:
- Develop and maintain the Global Surveillance Programme across Europe, Asia, and the US, collaborating with international colleagues.
- Lead a team responsible for surveillance activities, including recruitment and development.
- Ensure compliance with regulations related to Market Abuse and Market Conduct.
- Represent the firm in regulatory matters, providing evidence of surveillance programs, risk assessments, and policies.
- Serve as the primary contact for surveillance-related issues within the business.
- Lead cross-product surveillance working groups and coordinate with external providers.
- Establish governance processes for market abuse surveillance and data quality assurance.
- Create and maintain global risk assessments, identifying high-risk areas and driving improvements.
- Handle escalated alerts requiring detailed analysis and lead investigations into market abuse cases.
- Manage regulatory reporting processes, including violations and suspicious activity reports.
- Define data sourcing and quality processes, working with stakeholders to address issues.
- Participate in business change initiatives to embed surveillance requirements.
- Collaborate with product managers and technology teams to develop surveillance scenarios.
- Conduct investigations into potential market abuse, manipulation, or conduct breaches.
- Oversee thematic reviews and ensure timely completion and reporting.
- Design and deliver staff training on compliance obligations.
- Stay informed on global regulatory developments and interpret regulations for the firm.
- Identify opportunities to improve surveillance processes.
- Ensure effective communication of surveillance needs across stakeholders.
- Engage with participant compliance teams to clarify potential violations.
- Support regulatory relationships, especially regarding market abuse and orderly markets.
Skills / Attributes
- Experience in brokerage, securities trading, regulators, or exchanges, with strong regulatory knowledge.
- Experience with Fixed Income, Equity, and Derivative markets and products.
- Experience with oversight committees, either as a member or chair.
- Understanding of data analytics.
- Ability to interact professionally with senior leaders and influence outcomes.
- Deep understanding of the regulatory environment and compliance program development.
- Commitment to fostering a strong corporate culture and ethics; self-starter capable of independent work.
About Tradeweb:
Tradeweb Markets Inc. (NASDAQ: TW) is a leading global operator of electronic marketplaces for rates, credit, equities, and money markets. Founded in 1996, Tradeweb provides access to markets, data, analytics, electronic trading, straight-through processing, and reporting for institutional, wholesale, and retail clients. For more information, visit .
Tradeweb Markets LLC is an EEO employer committed to diversity and inclusion. More details can be found at EEO Poster .
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Contact Detail:
Tradeweb LLC Recruiting Team