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 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

  • Associate Tax and Tax Compliance

    vor 4 Wochen

    Berlin, Deutschland KWS Group Vollzeit

    We are seeking for our Shared Service Center for the next possible date an **Associate Tax and Tax Compliance (M/F/d)**, a position at **KWS Berlin GmbH** in **Berlin**. The Associate Tax and Tax Compliance executes tax tasks regarding the finance function. Working together with the Tax Compliance Experts, the Associate books international taxes and adheres...

  • Associate Tax and Tax Compliance

    vor 3 Wochen

    Berlin, Deutschland KWS Group Vollzeit

    About KWSKWS is one of the world's leading plant breeding companies. Nearly 5,000 employees in more than 70 countries generated net sales of around €1.68 billion in the fiscal year 2023/2024. A company with a tradition of family ownership, KWS has operated independently for almost 170 years. It focuses on plant breeding and the production and sale of seed...

  • Compliance & Risk Associate

    vor 1 Monat

    Berlin, Deutschland Nelly Solutions Vollzeit

    We celebrate diversity and encourage individuals of all genders (M/F/d) to apply. We’re on the lookout for an ambitious Internal Auditor to join our team at our headquarters in Berlin. Come make an impact at our early stage and well-funded medical fintech! The Internal Auditor plays a key role in ensuring compliance, optimising controls, and enhancing...

  • HR Associate

    vor 3 Monaten

    Berlin, Deutschland Xsolla Vollzeit

    Are you passionate about building strong teams and supporting a dynamic work environment? Xsolla is excited to announce that we are looking for a driven and detail-oriented **HR Associate (Junior)** to join our growing Berlin team! As an HR Associate, you’ll play a crucial role in recruitment support, onboarding, employee relations, and HR operations....

  • Contract Senior Clinical Research Associate

    vor 7 Monaten

    Berlin, Deutschland Ora Vollzeit

    **POSITION TITLE**: Senior Clinical Research Associate **DEPARTMENT**:Ora Europe **LOCATION**: Remote, Germany **Ora Values the Daily Practice of ** - Prioritizing Kindness - Operational Excellence - Cultivating Joy - Scientific Rigor_ At Ora, we are building the future of ophthalmic clinical research. As the world's leading full-service ophthalmic drug...

  • Finance Associate

    vor 4 Monaten

    Berlin, Deutschland Evmos Vollzeit

    **About the role** We believe that flexibility and trust allow you to thrive! You’ll be a major contributor to running the Financial Operations across our entities. You will work closely with Operations colleagues and cross-functional team members from Growth to Engineering. Our Finance Associate will also support the Executive team by engaging in...

  • Finance Associate

    vor 4 Monaten

    Berlin, Deutschland Evmos Vollzeit

    **About the role**: We believe that flexibility and trust allow you to thrive! You'll be a major contributor to running the Financial Operations across our entities. You will work closely with Operations colleagues and cross-functional team members from Growth to Engineering. Our Finance Associate will also support the Executive team by engaging in special,...

  • Junior Associate Anti Money Laundering

    vor 4 Monaten

    Berlin, Deutschland Regpit GmbH Vollzeit

    **Wir suchen eine/n** **Junior Associate Anti Money Laundering (AML) Compliance / Anti Financial Crime (AFC) (m/w/d)** **(Vollzeit)** **Werde Teil unserer Regpit Family in Berlin - flexible Arbeitsbedingungen verfügbar** Wir suchen dich als Teil unseres Teams. Als junges Unternehmen suchen wir nach Talenten, die unser Team mit neuen Ideen und Fachwissen...

  • Financial Grant Management Associate

    vor 2 Wochen

    Berlin, Berlin, Deutschland CDP - Europe Vollzeit

    CDP - Europe seeks a highly motivated individual to join its Grant Reporting & Accounting team as a Financial Grant Management Associate.About the JobThe role involves providing administrative support to the team, including data entry, financial analysis, and compliance checks. The successful candidate will have the opportunity to gain hands-on experience in...

  • Lcv Eucom Ew Germany: Associate Quality Assurance

    vor 7 Monaten

    Berlin, Deutschland KBR Vollzeit

    **Title**: LCV EUCOM EW Germany: Associate Quality Assurance Specialist **Program Summary** **KBR** leads the government services world contingency market by providing responsive, full-service logistics support to forces deployed around the world under the **Logistics Civil Augmentation Program contract** (**LOGCAP**). KBR’s enduring mission support of...

  • Working Student Compliance

    vor 2 Wochen

    Berlin, Deutschland lemon.markets Vollzeit

    **About**lemon.markets**: Our mission is to provide better opportunities to invest in capital markets. By empowering FinTechs and Banks to offer investment products, we help create financial well-being for their customers. In pursuit of this goal, we strive to open 100 million securities accounts within Europe this decade. lemon.markets builds...

  • Associate (M/w/x) - Esg Compliance

    vor 2 Monaten

    Berlin, Deutschland Freshfields Vollzeit

    **Jobbeschreibung**: Eine Mitarbeit in unserem ESG-Team ist nicht nur erstklassig (JUVE, Handbuch Wirtschaftskanzleien 2022/23), sondern etwas ganz Besonderes! Starte jetzt in unserem Büro in Düsseldorf oder Berlin. Das sind Deine Aufgaben - Beratung zu regulatorischen Nachhaltigkeitsthemen in einem internationalen Arbeitsumfeld - Unterstützung von...

  • Benefits Associate Emea

    vor 7 Monaten

    Berlin, Deutschland Reddit Vollzeit

    Join our growing Benefits team to help make Reddit one of the best places to work! We approach our benefit programming as an opportunity to demonstrate our commitment and care for our employee's wellness beyond their working lives. We are looking for someone who is passionate about benefits and employee experience, a quick learner, detail oriented and is...

  • (Senior) Executive Associate Corporate Governance

    vor 7 Monaten

    Berlin, Deutschland N26 Vollzeit

    **About the opportunity**: We are looking for a (Senior) Executive Associate, Corporate Governance to be responsible for the organisation, preparation and documentation of board and committee meetings as well as the creation and updating of procedures, processes, and corporate governance topics (including the SfO / written order) and the implementation of...

  • Abercrombie & Fitch Retail Sales Associate Opportunity

    vor 4 Wochen

    Berlin, Berlin, Deutschland abercrombie-fitch-co. Vollzeit

    Award-Winning Brand Representative RoleAbercrombie & Fitch Co. is a leading global specialty retailer of apparel and accessories for men, women, and kids through five renowned brands. Our iconic Abercrombie & Fitch brand was born in 1892 and aims to make every day feel as exceptional as the start of a long weekend.We are seeking a highly motivated and...

  • Associate Mergers

    vor 2 Wochen

    Berlin, Deutschland SEFE Securing Energy for Europe GmbH Vollzeit

    SEFE - Home - Wer wir sind - Über SEFE - Unsere Vision - Management - Aufsichtsrat - Compliance - Geschäftsbereiche - FAQ - Was wir tun - Geschäftsbereiche - Beschaffung & Handel - Vertrieb - Transport - Speicher - Gasmobilität - Gas & LNG - Wasserstoff - Elektrizität - Newsroom - Pressemitteilungen - Publikationen - Zusatzinformationen - Karriere -...

  • Associate (m/w/x) – ESG Compliance

    vor 2 Monaten

    Berlin, Deutschland Freshfields Vollzeit

    JobbeschreibungEine Mitarbeit in unserem ESG-Team ist nicht nur erstklassig (JUVE, Handbuch Wirtschaftskanzleien 2022/23), sondern etwas ganz Besonderes! Starte jetzt in unserem Büro in Düsseldorf oder Berlin .Das sind Deine Aufgaben Beratung zu regulatorischen Nachhaltigkeitsthemen in einem internationalen Arbeitsumfeld Unterstützung von Mandanten bei...

  • Finanzexperte als Manager oder Associate Partner für Unternehmensprüfungen

    vor 3 Wochen

    Berlin, Bielefeld, Eschborn, Hamburg, Köln, München, Nürnberg oder Stuttgart, Deutschland Rödl Rechtsanwälte Steuerberater Wirtschaftsprüfer Unternehmens- und IT-Berater Vollzeit

    Aufgaben und VerantwortungAls Finanzexperte mit dem Titel Manager oder Associate Partner übernehmen Sie die eigenverantwortliche Durchführung von Konzern- und Jahresabschlussprüfungen für unsere Mandanten. Diese umfassen Prüfungen nach handelsrechtlicher und internationaler Rechnungslegung.Die Prüfungen erstrecken sich auf diverse Branchen und...

  • Order Management Associate

    vor 6 Monaten

    Berlin, Deutschland LeanIX GmbH Vollzeit

    In less than 12 years, LeanIX has grown from a start-up to a truly global company, already recognized as a market leader in the Enterprise Architecture SaaS sector, and, following acquisition by the SAP group, it is poised to continue its expansion. To support our growth, we are looking for an Order Management Associate for our European team, to be based in...

  • Legal Operations Associate

    vor 7 Monaten

    Berlin, Deutschland Via Vollzeit

    Via is using technology to transform transportation around the world. From changing a single person's daily commute to reducing humanity's collective environmental footprint — we've got huge goals. As **Legal Operations Associate**, you will work closely with a team of highly dedicated and dynamic lawyers on essential in-house legal functions with a...