Wphg Compliance Lead

vor 6 Monaten

Berlin, Deutschland Upvest Vollzeit

Upvest, founded in 2017, enables any financial institution to offer great investment experiences to its customers. Upvest is an investment firm regulated by the German supervision authority (BaFin). The company currently employs 160+ people across Europe with its headquarters based in Berlin, Germany.

The company is backed by the world’s largest venture capital funds and investors including Bessemer Venture Partners, BlackRock, Earlybird, HV Capital, Notion Capital, and Motive Ventures, as well as by renowned fintech entrepreneurs, including Maximilian Tayenthal, founder of N26, and Felix Haas, founder of IDnow.

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 offering a wide range of efficient and transparent investment products, such as stocks and ETFs in nominal, portfolio, and fractional form. Our mission and vision is to make investing as easy as spending money.

We’re based in Berlin but would consider hiring remotely in Germany for this role. If you do want to move to Berlin though (from outside Germany), we’re happy to support your relocation.

**Your mission**:

- Running and scaling our investment firm's compliance, uniting fast growth and compliance for Upvest and our clients
- Building an easily accessible investment product with regulatory excellence reaching 100m end users
- Developing the securities trading Compliance function to the next level in close collaboration with the managing directors
- Building up a resilient team of compliance professionals

**Key responsibilities**
- Lead and manage all compliance-related activities within Upvest Securities GmbH, ensuring alignment with regulatory requirements and industry best practices
- Act as WpHG Compliance Officer (Compliance Beauftragter) and Single Officer of Upvest Securities GmbH, reporting to the Managing Directors on a regular basis
- Liaise with regulator and manage annual audit processes (e.g. annual WpHG & custody audits)
- Perform risk analysis at regular intervals and on ad hoc basis
- Ensure that conflicts of interest are prevented or that unavoidable conflicts of interest are adequately taken into account
- Work in close cooperation with the Growth, Product and Operations departments to ensure compliance with internal standards and legal provisions
- Develop, oversee, and manage regulatory compliance frameworks and procedures to ensure Upvest's adherence to all applicable laws and regulations
- 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
- Establish monitoring mechanisms and report compliance metrics
- Monitor the complaints-handling process
- Take active part in all new product processes
- Conduct regular WpHG Compliance trainings and foster a compliance focused culture

**About you**
- 5+ years of experience in financial services firms regulated by the BaFin, covering functions related to securities trading Compliance
- Knowledge of banking and capital market law (especially 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
- If you're someone who likes to build things from the ground up, enjoys being hands-on and wants to get more insight into the fintech space, this opportunity could be the one you've been looking for
- English and German fluency (both written and spoken)
- Able to work from Germany (being based in Berlin is not required, though a plus)

**Why Upvest?**
- We're working on solving a hard problem: fixing the European securities financial infrastructure that empowers more people to be able 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 hire decent people, who are passionate about their craft and helping us 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).

**Our values**:

- ** Learn and grow.** We aim high to shape our future. We give and request honest feedback knowing that we develop together. Progression over Perfection.
- ** Team first.** We make it easy for others. We value our differences and are open to others' opinions. We win and celebrate together Team over

  • Bankfachwirt (Gn) Für Wphg Compliances

    vor 6 Monaten

    Berlin, Deutschland Bankpower GmbH Vollzeit

    Du kennst dich gut mit WpHG aus, die Problme mit Insiderhandel, Melde - und offenlegungspflivchten sind für dich Teil deines professionellen Arbeitens. Mit immer neuen, online Anlagemöglichkeiten ist der Bereich Wertpapierhandelsgesetz ein Gebiet mit vielen, sich konstant Verändertnden Facetten, welches sich den immer ändernden Herausforderungen des...

  • Compliance-Spezialist: Entwicklung und Umsetzung von WpHG-Komplianten

    vor 4 Wochen

    Berlin, Berlin, Deutschland Sparkasse Vollzeit

    JobbeschreibungFür unsere Mandanten suchen wir einen erfahrenen Compliance-Spezialisten, der die Entwicklung und Umsetzung von WpHG-komplianten Lösungen übernimmt.Beschreibung des JobsAls Beauftragter/Beauftragte für WpHG-Compliance sind Sie verantwortlich für die Überprüfung und Anpassung unserer Prozesse an die aktuellen Vorschriften. Ihre...

  • Customer Support and Compliance Leader

    vor 4 Wochen

    Berlin, Berlin, Deutschland SIDES (SimplyDelivery GmbH) Vollzeit

    Job OverviewWe are seeking an experienced Customer Support and Compliance Leader to join our team at SIDES (SimplyDelivery GmbH). The ideal candidate will have a strong background in customer service, compliance, and leadership.About the RoleThis is a full-time position that requires strategic thinking, problem-solving skills, and excellent communication...

  • Compliance Team Lead

    vor 6 Monaten

    Berlin, Deutschland iwoca Vollzeit

    Wir suchen eine*n deutschsprachige*n Compliance Team Lead als Führungskraft für unser Team in Deutschland (Frankfurt oder Berlin). **Über Iwoca**: Schnelle, flexible Finanzierung ermöglicht es kleinen Unternehmen, ihren Cashflow besser zu verwalten und Chancen zu nutzen - was ihr Geschäft und die Wirtschaft als Ganzes stärkt. Bei iwoca tun wir genau...

  • Compliance Associate

    vor 6 Monaten

    Berlin, Deutschland Upvest Vollzeit

    Upvest, founded in 2017, enables any financial institution to offer great investment experiences to its customers. Upvest is an investment firm regulated by the German supervision authority (BaFin). The company currently employs 160+ people across Europe with its headquarters based in Berlin, Germany. The company is backed by the world’s largest venture...

  • Pre-sales Solution Architect

    vor 4 Monaten

    Berlin, Deutschland Sovos Compliance Vollzeit

    **Build your future with Sovos.** If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionizing how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than...

  • Compliance Appeals Lead, Cash App

    vor 4 Monaten

    Berlin, Deutschland Block Vollzeit

    **Company Description** It all started with an idea at Block in 2013. Initially built to take the pain out of peer-to-peer payments, Cash App has gone from a simple product with a single purpose to a dynamic ecosystem, developing unique financial products, including Afterpay/Clearpay, to provide a better way to send, spend, invest, borrow and save to our 47...

  • Germany Country Compliance Lead

    vor 3 Monaten

    Berlin, Deutschland Pfizer Vollzeit

    A career at Pfizer offers opportunity, ownership and impact. All over the world, Pfizer colleagues work together to positively impact health for everyone, everywhere. Our colleagues have the opportunity to grow and develop a career that offers both individual and company success; be part of an ownership culture that values diversity and where all colleagues...

  • Team Lead Legal Compliance

    vor 4 Wochen

    Berlin, Deutschland AUTO1 Group Vollzeit

    **Unternehmensbeschreibung** Choose challenge. Choose pace. Choose growth.** Für unsere offene Position als Team Lead Legal Compliance suchen wir dich! Starte im Legal Compliance Team und unterstütze uns dabei sicherzustellen, dass das Unternehmen Gesetze, Richtlinien und Standards zur Durchsetzung von Vorschriften in allen Aspekten einhält. Ein...

  • Customer Support and Compliance Team Lead

    vor 2 Wochen

    Berlin, Berlin, Deutschland SIDES (SimplyDelivery GmbH) Vollzeit

    Job SummaryWe are seeking a highly skilled Customer Support and Compliance Team Lead to join our team at SIDES (SimplyDelivery GmbH) in Berlin. As a key member of our leadership team, you will be responsible for leading the customer service team, ensuring compliance with relevant regulations, and driving strategic initiatives to deliver exceptional customer...

  • Strategic Account Director

    vor 3 Wochen

    Berlin, Deutschland Sovos Compliance Vollzeit

    **Build your future with Sovos.** If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionizing how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than...

  • Project Leader, Risk

    vor 4 Monaten

    Berlin, Deutschland Boston Consulting Group Vollzeit

    **Locations**: Germany | Austria Who We Are Boston Consulting Group partners with leaders in business and society to tackle their most important challenges and capture their greatest opportunities. BCG was the pioneer in business strategy when it was founded in 1963. Today, we help clients with total transformation-inspiring complex change, enabling...

  • Partner Enablement Director

    vor 2 Monaten

    Berlin, Deutschland Sovos Compliance Vollzeit

    **Build your future with Sovos.** If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionizing how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than...

  • Partner Enablement Director

    vor 2 Monaten

    Berlin, Deutschland Sovos Compliance Vollzeit

    **Build your future with Sovos.** If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionizing how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than...

  • Regulatory Compliance Officer

    vor 7 Monaten

    Berlin, Deutschland Qonto Vollzeit

    **Our mission**? Making day-to-day banking easier for SMEs and freelancers thanks to an online business account that's combined with invoicing, bookkeeping and spend management tools. Thanks to its innovative product, highly reactive 24/7 customer support and clear pricing, Qonto has become the leader in its market. **Our journey**: Founded by Alexandre and...

  • Regulatory Liaison Counsel

    vor 4 Monaten

    Berlin, Deutschland Sovos Compliance Vollzeit

    **Build your future with Sovos.** If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionising how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than...

  • Global Account Executive

    vor 7 Monaten

    Berlin, Deutschland Sovos Compliance Vollzeit

    **Build your future with Sovos.** If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionizing how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than...

  • Senior Director, ERP Client Support Emea

    vor 7 Monaten

    Berlin, Deutschland Sovos Compliance Vollzeit

    **Build your future with Sovos.** If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionising how businesses navigate the ever-changing regulatory landscape. At Sovos, we're dedicated to more than...

  • Compliance Officer

    vor 4 Monaten

    Berlin, Deutschland Barclay Simpson Vollzeit

    My client is an established European Fintech business who are now expanding their operations across Germany. With an existing office in Frankfurt and expansion to Berlin we are seeking a Compliance Officer to be responsible for Germany and to lead the existing compliance team of 3. This role can be office based, or remote but you must be based in Germany and...

  • Global Trade Compliance Lead

    vor 6 Monaten

    Berlin, Deutschland SellerX Vollzeit

    **This role offers the possibility of remote work within Germany or the UK.** **The Role** **Your Responsibilities in Detail** - Manage and develop a team of trade compliance specialists and build a strong succession plan foundation for the sub-department. - Lead the development and implementation of processes and controls across all relevant portfolio...