Tradeweb ESG Presentation Deck
Innl Governance
Enterprise Risk & Compliance Governance Structure
BOARD OF DIRECTORS-AUDIT
COMMITTEE
11
CHIEF EXECUTIVE
OFFICER PRESIDENT
CHIEF RISK &
ADMINISTRATIVE
OFFICER (CRO)
CHIEF INFORMATION SECURITY
OFFICER (CISO), GLOBAL HEAD OF
COMPLIANCE AND GLOBAL HEAD
OF RISK MANAGEMENT
RISK AND COMPLIANCE
COMMITTEES (GLOBAL
AND REGIONAL)
RISK AND COMPLIANCE TEAMS
(GLOBAL AND REGIONAL)
Managing Business Continuity
& Technology Risks
Tradeweb did not experience any data breaches or material
system disruptions in the 2021 reporting period.
Tradeweb Global Risk Management
& Compliance
●
Regulated Entities Across Global Operations
Governance and Managerial Responsibility for Compliance
• Code of Business Conduct and Ethics
Vendor Risk Management
●
●
●
Employee Training
Customer Due Diligence
Anti-Money Laundering Policy
●
Software Development & Release Management
Incident Investigation and Corrective Actions
Reporting of Irregularities Surveillance
Regulatory Compliance
Business Continuity & Disaster Recovery
• Data Privacy & Information Security
Tradeweb
RISK MANAGEMENT CYCLE
Analyze & Report
Response & Remediate
Identify & Assess
Measure & Record
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is strictly prohibited. The information provided herein is not offered as investment, tax or legal advice or an offer to buy or sell securities.View entire presentation