DRW is a technology-driven, diversified principal trading firm. We trade our own capital at our own risk, across a broad range of asset classes, instruments and strategies, in financial markets around the world. As the markets have evolved over the past 25 years, so has DRW – maximizing opportunities to include real estate, cryptoassets and venture capital. With over 1000 employees at our Chicago headquarters and offices around the world, we work together to solve complex problems, challenge consensus and deliver meaningful results. It’s a place of high expectations, deep curiosity and thoughtful collaboration.
As a Compliance Surveillance Analyst, you’ll be responsible for conducting compliance surveillance and trade monitoring for our UK and Dutch entities, liaising with regulators, and helping to refine compliance procedures in the region. You’ll communicate and collaborate closely with a variety of internal teams and external parties, including compliance officers, regulators, technology teams, exchanges and clearing firms.
What you’ll do:
- Conduct trade surveillance for market abuse across a variety of European exchanges
- Perform voice & e-comms surveillance across Amsterdam & London-based trading desks
- Support Amsterdam & London-based trading desks with trading venue/prime broker/counterparty interaction, e.g. new trader registrations, responding to due diligence questionnaires, etc.
- Liaise directly with AFM and DNB as needed
- Contribute to development of compliance policies and procedures, including annual reviews and risk assessments
- Assist in preparing regulatory filings
What we’re looking for:
- 2+ years of trade surveillance experience
- Knowledge of European financial services regulation, e.g. MiFID II, EMIR
- Diverse financial product knowledge
- Fluency in English (fluency in Dutch a bonus)
- Excellent organizational skills and strong attention to detail
- Outstanding written and verbal communication skills
- Strong business acumen
- Excellent analytical abilities
- Bachelor’s degree
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