Compliance Associate

vor 3 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**:

- Supporting and contributing to our investment firm compliance, uniting fast growth and compliance for Upvest and our clients
- Building an easily accessible investment product with regulatory excellence reaching 100m end users
- Assisting in the development of the securities trading Compliance function to the next level

**Key responsibilities**
- Assist in managing compliance-related activities, ensuring they align with regulatory requirements and industry best practices
- Support the WpHG Compliance Officer (Compliance Beauftragter) and Single Officer, helping to prepare regular reports to the managing directors
- Assist with liaising with regulators and managing annual audit processes (e.g. annual WpHG audits)
- Perform regular risk analyses and ad hoc assessments under guidance
- Help ensure that conflicts of interest are identified and managed appropriately
- Work closely with the Growth, Product, and Operations departments to ensure compliance with internal standards and legal provisions
- Contribute to the development and maintenance of regulatory compliance frameworks and procedures to ensure Upvest's adherence to all applicable laws and regulations
- Assist in creating and updating written policies and procedures to meet changing regulatory and business requirements
- Support the establishment of monitoring mechanisms and reporting of compliance metrics
- Assist in monitoring the complaints-handling process, market abuse surveillance procedures and support investigations regarding suspicious activities
- Prepare and conduct regular WpHG Compliance trainings and promote a compliance-focused culture

**About you**

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.
- 2-3 years of experience in audit firms, financial services firms regulated by the BaFin, covering functions related to securities trading Compliance or equivalent
- Law degree or a degree in economics / business administration with focus on banking, financial services or capital markets
- Knowledge of banking and capital market law (especially MiFID II, MiFIR, WpHG, WpIG, DepotG, IFR, MAR, MaRisk,MaComp and MaDepot) as well as knowledge of the relevant ESMA guidelines and standards
- Passion about the future of fintech and desire to drive it from a front-row seat
- English and German fluency (both written and spoken)
- Ability to thrive in a fast-paced remote environment
- Ability 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 o

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