Compliance Manager (f/m/d)
We’re looking for fintech enthusiasts to join us in creating the financial infrastructure of tomorrow. We’re building the first European Investment API to enable any financial institution to offer a broad range of investment products in their apps. Our view is backed by Europe's largest tech VCs (Earlybird, Notion Capital, Partech, HV Capital, ABN AMRO Ventures) and by renowned fintech entrepreneurs (including Maximilian Tayenthal, founder of N26, and Felix Haas, founder of IDnow).
We’re based in Berlin but would consider hiring remotely for this role. If you do want to move to Berlin though, we’re happy to support your relocation.
At Upvest, our vision is to make investing as easy as spending money. By enabling any business to offer investment opportunities to anyone, our goal is to empower 100 million people to invest (by 2025). Today, we count 50+ talented people from 20 different countries.
As our future Compliance Manager, you’ll help us building and running a securities trading bank. You’ll work closely with our CFO, Tobias, and General Counsel, Dang, on implementing the Compliance function effectively & overseeing all compliance-related activities within Upvest. If you're someone who likes to build things from the ground up, enjoy being hands-on and want to get insight into the fintech space, this opportunity could be the one you've been looking for.
This role will give you the opportunity to:
- Oversee all compliance-related activities within Upvest (including maintaining legal inventory, mandatory reporting to the Regulator as well as to the Bundesbank, and providing updates to the senior management)
- Represent the key coordination function within the internal control system, and maintain all external relationships with regulators, banking partners and third-party compliance vendors (including external custody account audits)
- Work in close cooperation with the Legal, Product management and Ops department to ensure compliance with internal standards and legal provisions
- Create and maintain written policies and procedures to meet changing regulatory and business requirements, particularly by keeping abreast of legal and regulatory developments in the German & European fintech space
- Oversee Upvest KYC processes for new customer accounts, evaluate high-risk accounts and analyse new customer processes and policies
- Be responsible for Compliance and AML training of local employees
- 3+ years of experience in financial services firms regulated by the BaFin, covering functions related to Compliance or Money Laundering / Fraud prevention
- Knowledge of banking and Capital market law (especially KWG, WpHG, MAR, MaRisk and MaComp) as well as money laundering law
- Ability to thrive in a fast-paced remote environment
- Passion about the future of fintech and desire to drive it from a front-row seat
- Able to work from Germany (being based in Berlin is not required, though a plus)
- English and German fluency (both written and spoken)
What we offer
- We're working on solving a hard problem: building the first European investment API that empowers more people to invest. You have the opportunity to contribute to this change.
- We invest in you. From access to a personal coach, development budget and plenty of opportunities to grow in your role.
- We take hiring seriously with a strong focus on keeping a high bar when interviewing (equally important is that we also hire decent people who are passionate about their craft and helping up achieve our shared mission).
- While we're not quite fully-remote, we are committed to being a flexible employer as we understand you don't have to be in the office to do your best work.
- We live a culture of empowerment, trust (that we hire the best people and get out of their way) and openness (there's a greater advantage in sharing information than keeping it to ourselves).
- We ensure we take time to have fun as a team: from regular donut coffee meetings, learning German with other Upvengers and a regular schedule for (virtual) company-wide events. We're looking forward to having more time in-person again once this becomes possible again.
Learn and grow: We aim high to shape our future. We give and request honest feedback. Everything is a learning opportunity. Progression > Perfection.
Team first. We make it easy for others. We value different views, disagree, and commit. We win and celebrate together!
Own the outcome. We are proactive and finish the job until it is done. Happy clients > Sales. We take breaks when needed.
Tell the story. We always start with the ‘why’. Outcome > Process. We share knowledge to empower others.