Wphg Compliance Lead

vor 2 Wochen

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

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