Compliance Associate (f/m/d)
Upvest
This job is no longer accepting applications
See open jobs at Upvest.See open jobs similar to "Compliance Associate (f/m/d)" Speedinvest.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 our differences and are open to others' opinions. We win and celebrate together! Team over Egos.
Own the outcome. Whether we win or we lose, we stand together. We are proactive and get the job done. Outcome over Process.
Tell the story. We always start with the why. We share knowledge to empower others. Transparency over Complexity.
Upvest is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.
This job is no longer accepting applications
See open jobs at Upvest.See open jobs similar to "Compliance Associate (f/m/d)" Speedinvest.