Compliance jobs in United Kingdom

Job Description

Position Overview:
Tradeweb is seeking a motivated and execution-focused Vice President to join the First Line Risk & Control function. Operating under the direction and guidance of the Global Head of Business Risk & Incident Management, this role will lead the execution of risk and control activities across key operational processes and trading workflows, with particular focus on the trade life cycle, operational resilience, and incident management. The individual will serve as a critical partner to business and technology teams to drive risk identification, assessment, and mitigation through well-designed and consistently executed controls.

Key Responsibilities:

• Serve as the embedded operational risk advisor within trading and technology teams, acting as the first point of contact for day-to-day risk identification, control design, and remediation guidance.
• Coordinate and facilitate risk assessments (RCSAs) at the desk and process level, ensuring control mapping aligns with business workflows and regulatory obligations.
• Design and implement key business process controls (manual and automated), with ongoing performance testing and issue tracking in collaboration with control owners.
• Oversee first line control design and operating effectiveness across the trade life cycle, including order capture, execution, and post-trade processing.
• Perform real-time risk reviews of process or system changes, new product launches, and technology deployments to ensure embedded risk considerations.
• Monitor and review control evidence and attestations, ensuring completeness, accuracy, and timely escalation of control failures or near misses.
• Act as lead incident response liaison, coordinating initial triage, root cause analysis, and business remediation with tech and ops leads.
• Draft and socialize business continuity and operational resilience playbooks with relevant stakeholders; lead tabletop exercises for scenario readiness.
• Develop and monitor desk-level KRIs and KPIs that reflect operational risks in trading workflows (e.g., order mismatches, latency events, reconciliation breaks).
• Train and coach front office and infrastructure teams on risk ownership, control execution, and compliance with firm-wide risk frameworks.
• Maintain documentation of risk acceptance decisions, with clearly defined risk owner, rationale, and periodic review schedule.
• Prepare presentations and materials for senior stakeholders, risk committees, and internal governance forums, clearly articulating risk posture and control health.
• Collaborate with second line risk and compliance functions to maintain alignment of methodologies and remediation of findings.

Qualifications and Experience:

• Minimum 5-7 years of experience in operational risk, business controls, or first line risk management, ideally within a FinTech or regulated financial services environment.
• Deep understanding of RCSA methodology, risk governance principles, and control lifecycle management.
• Working knowledge of trade processing workflows and operational risks associated with trading technology and infrastructure.
• Demonstrated experience in incident management, root cause analysis, and driving remediation.
• Familiarity with regulatory and industry frameworks (e.g., MIFID II, DORA, NIST) related to operational resilience and technology risk in EU/UK financial markets.
• Proficiency in Microsoft Excel, PowerPoint and Word; experience using GRC platforms (e.g., Archer) and data visualization/reporting tools (e.g., Power BI, Tableau).
• Strong interpersonal and communication skills, with the ability to influence and collaborate effectively across business and technical functions.
• Professional certifications (e.g., CRISC, CISA, PMP) are preferred.

About Tradeweb:

Tradeweb Markets is a world leader in the evolution of electronic trading. A fintech company serving approximately 2,500 clients - including the world's largest banks, asset managers, hedge funds, insurance companies, wealth managers and retail clients -- in more than 65 countries across the globe. Since our first trade in 1998, we have helped transform and electronify the fixed income markets. Tradeweb is a culture built on innovation, creativity and collaboration. Through a combination of very talented and driven people, innovative products and solutions, cutting-edge technology, market data, and a vast network of clients, we continue to work together to improve the way financial markets trade.

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

Tradeweb values diversity of culture and thought and seeks talented, qualified employees in all its operations around the world regardless of race, gender, national origin, religion, sexual orientation, disability, age or any other protected classification under country or local law.

Private Policy Statement Link:

https://www2.tradeweb.com/l/105492/2021-05-05/h7v2kl/105492/1620231674fqv9j2ci/Tradeweb_EU_Applicant_Privacy_Policy.pdf