Middle Risk & Compliance Manager
TradingView is the world’s largest financial analysis platform with more than 100M users across 180+ countries.
We build tools that help traders and investors make informed decisions — from advanced charting and market data to collaboration and publishing features. Our products are used daily by millions of individuals and trusted by companies like Revolut, Binance, and CME Group.
We’re continuing to grow and scale our platform, and we’re looking for people who care about product quality, take ownership of their work, and want to build systems used by a global audience.
About the team
The Legal team sits at the heart of TradingView and it’s a very important part of the business. This team supports all other TradingView teams, helping us achieve our goals each and every day.
They’re special, they’re strong-willed, and they work in a lot of different areas. From structuring credit programmes, advising on innovative features, and assisting to launch into new territories, the Legal team does it all.
Responsibilities
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, MiCA, PSD2, ESMA and SEC guidelines)
- 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, crypto, or regulated financial services sectors)
- Solid knowledge of regulatory frameworks (e.g., GDPR, AML, sanctions regimes, ISO/SOC2, MiCA, PSD2)
- Proven experience in broker oversight, licensing due diligence, and regulatory monitoring
- 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 and establishing governance structures
- Strong analytical, communication, and stakeholder management skills
- Professional certifications preferred but not necessary (e.g., ICA, ACAMS, CCEP, CRISC, CFA Institute Certificate in ESG Investing, ACFCS)
What we offer you
- Flexible working hours and a hybrid work format
- Well-equipped offices for focused and collaborative work
- A global, distributed team of 500+ professionals
- Learning, mentorship, and long-term career growth
- Relocation support and private health insurance
- Performance-based bonuses
- TradingView Premium access
- Regular team events and company-wide meetups
Join the TradingView team and help us build a product used by millions of traders and investors worldwide. We look forward to hearing from you!
TradingView is an equal opportunity employer. We embrace diversity and are dedicated to fostering a diverse and inclusive workplace. Our success is driven by 600+ professionals from 40+ countries who speak nearly 20 languages.
