Risk and Compliance Manager

TradingView; City Of London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading financial analysis platform is seeking a Risk and Compliance Manager to develop and oversee compliance and risk management policies. The ideal candidate will have 5-7 years of experience in a regulated environment, knowledge of GDPR and AML regulations, and strong analytical skills. This role involves building compliance frameworks and maintaining strong regulatory oversight across multiple jurisdictions.

Qualifications

• Minimum 5-7 years' experience in compliance, risk management, or internal audit preferably in fintech, SaaS, or regulated sectors.
• Solid knowledge of regulatory frameworks (e.g., GDPR, AML, sanctions regimes, ISO/SOC2).
• Strong analytical, communication, and stakeholder management skills.

Responsibilities

• Design, implement, and maintain a comprehensive risk and compliance framework.
• Develop and maintain internal compliance policies and frameworks.
• Lead risk assessments and maintain the company's risk register.

Skills

Compliance

Risk management

Internal audit

Analytical skills

Communication skills

Stakeholder management

Education

Professional certifications (ICA, ACAMS, CCEP, CRISC)

Job description

TradingView was founded in 2011 in New York and London with a mission to empower millions of people to achieve success, whatever that means to them. We're building a space where anyone can maximize their chances of succeeding through financial markets because they've got all the best tools and data at their fingertips.

Our product portfolio includes best-in-class charts, versatile commercial libraries, a social network, and many more tools for retail and business audiences, trusted by fintech leaders such as Revolut, Binance, and CME Group.

We're the world's largest financial analysis platform - used by 100 million people, in over 180 different countries. Every day, millions of users open TradingView for analysis, collaboration, and finding better trading opportunities.

About your mission! - Make an impact

The Risk and Compliance Manager will be responsible for designing, implementing, and maintaining a comprehensive risk and compliance framework across the business. This is a newly created role and represents a unique opportunity to build and scale a fully functioning compliance function from the ground up.

How You'll Drive Success

Compliance:

• Develop and maintain internal compliance policies and frameworks (KYC, sanctions, AML, data privacy, etc.)
• Monitor and implement regulatory changes (e.g., DORA, GDPR, SOC2)
• Oversee KYC/KYB checks for affiliate and broker onboarding
• Maintain a risk-based country and partner acceptance matrix
• Liaise with regulators or external auditors where necessary
• Provide internal compliance training and awareness programs

Broker Oversight:

• Conduct and document broker licensing and regulatory due diligence checks, ensuring onboarding only of appropriately authorised and regulated entities
• Maintain a live register of approved brokers and their licensing/authorisation status
• Monitor regulatory changes impacting broker operations across key jurisdictions
• Engage with product and integration teams to ensure broker compliance requirements are fully captured in onboarding and ongoing monitoring processes
• Maintain working knowledge of financial and crypto-specific regulations and regulators, including:

• UK: FCA (Financial Conduct Authority)
• EU: ESMA (European Securities and Markets Authority), EBA (European Banking Authority), MiCA (Markets in Crypto Assets Regulation), DORA (Digital Operational Resilience Act)
• US: SEC (Securities and Exchange Commission), CFTC (Commodity Futures Trading Commission), FinCEN (Financial Crimes Enforcement Network), OFAC (Office of Foreign Assets Control)
• Global: IOSCO (International Organization of Securities Commissions), FATF (Financial Action Task Force), MAS (Monetary Authority of Singapore), ASIC (Australian Securities and Investments Commission)

Risk Management:

• Lead risk assessments and maintain the company's risk register
• Design and monitor mitigation strategies for operational, regulatory, and reputational risk
• Support business continuity and incident response planning
• Conduct internal audits of risk controls and policies

Governance and Reporting:

• Maintain a compliance calendar and ensure adherence to deadlines
• Prepare periodic reports for senior leadership on risk posture and compliance issues
• Escalate significant compliance failures or red flags

What makes you the perfect fit

- Minimum 5-7 years' experience in compliance, risk management, or internal audit preferably in fintech, SaaS, or regulated sectors)

• Solid knowledge of regulatory frameworks (e.g., GDPR, AML, sanctions regimes, ISO/SOC2)
• Familiarity with financial and crypto services regulators across multiple jurisdictions (as listed above)
• Strong understanding of crypto-specific compliance obligations, including MiCA, FATF Travel Rule, Virtual Asset Service Provider (VASP) regimes, and related regulatory guidance
• Experience in building compliance frameworks from scratch is highly desirable
• Strong analytical, communication, and stakeholder management skills
• Professional certifications preferred (e.g., ICA, ACAMS, CCEP, CRISC)

It'll also be an advantage if you have experience in:

• Finance experience or knowledge of Trading
• Knowledge of TradingView We also love users who become teammates!

TradingView is an equal opportunity employer. We embrace diversity and are dedicated to fostering a diverse and inclusive workplace.