Head of Compliance & AML Officer (f/m/d)

Remote
Employee
Finance

You can apply here, or more easily on our website's Career page.

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 to offer a broad range of investment products in their apps. Our view is backed by Europe's largest tech VCs (Earlybird, Notion Capital, Partech, HV Capital) and by renowned fintech entrepreneurs (including Maximilian Tayenthal, founder of N26, and Felix Haas, founder of IDnow).

Our vision is to create a world in which any asset can be owned and traded digitally by anyone, anywhere, and we're looking for ambitious pioneers to join us in this journey. Today, we count 30+ talented people from 15 different countries. We’re based in Berlin, Germany.

Your mission:

As our future Head of Compliance & AML Officer, you will be responsible for implementing the Compliance function effectively & overseeing all compliance-related activities within Upvest. Most importantly, you’ll have the opportunity to play a key role in shaping the future of fintech.

Tasks

  • Oversee all compliance-related activities within Upvest (including maintaining legal inventory, mandatory reporting to the Regulator as well as to the Bundesbank, and providing updates to the senior management)
  • Represent the key coordination function within the internal control system, and maintain all external relationships with regulators, banking partners and third party compliance vendors (including external custody account audits)
  • Work in close cooperation with the Legal, Product management and Ops department to ensure compliance with internal standards and legal provisions
  • 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
  • Oversee Upvest KYC processes for new customer accounts, evaluate high-risk accounts and analyse new customer processes and policies
  • Be responsible for Compliance and AML training of local employees

Requirements

  • 7+ years of experience in financial services firms regulated by the BaFin, covering functions related to Compliance or Money Laundering / Fraud prevention
  • Knowledge of banking and Capital market law (especially KWG, 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
  • Able to work from Germany (being based in Berlin is NOT required, though a plus)
  • English and German fluency (both written and spoken)

Benefits

  • 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 also hire decent people who are passionate about their craft and helping up 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).
  • We ensure we take time to have fun as a team. We're looking forward to having more time in-person again once this becomes possible again.

Our values:

  • Think Fearlessly, Act Fast: We embrace the accelerated pace and ambiguity of building a business on the frontier. We take risks and look forward.
  • Be Street Smart: We are always tuned in to what is going on. With ourselves, our team, our users and the market.
  • Step Up, Stand Together: Every individual is prepared to speak up for what they believe in and stand together as a team to deliver the result, even when the going gets tough.
  • Low Egos, High Expectations: Although we take our work seriously, we don’t take ourselves too seriously. We have hunger and humility in equal measure.

You can apply here, or more easily on our website's Career page.

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 to offer a broad range of investment products in their apps. Our view is backed by Europe's largest tech VCs (Earlybird, Notion Capital, Partech, HV Capital) and by renowned fintech entrepreneurs (including Maximilian Tayenthal, founder of N26, and Felix Haas, founder of IDnow).

Our vision is to create a world in which any asset can be owned and traded digitally by anyone, anywhere, and we're looking for ambitious pioneers to join us in this journey. Today, we count 30+ talented people from 15 different countries. We’re based in Berlin, Germany.

Your mission:

As our future Head of Compliance & AML Officer, you will be responsible for implementing the Compliance function effectively & overseeing all compliance-related activities within Upvest. Most importantly, you’ll have the opportunity to play a key role in shaping the future of fintech.

Tasks

  • Oversee all compliance-related activities within Upvest (including maintaining legal inventory, mandatory reporting to the Regulator as well as to the Bundesbank, and providing updates to the senior management)
  • Represent the key coordination function within the internal control system, and maintain all external relationships with regulators, banking partners and third party compliance vendors (including external custody account audits)
  • Work in close cooperation with the Legal, Product management and Ops department to ensure compliance with internal standards and legal provisions
  • 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
  • Oversee Upvest KYC processes for new customer accounts, evaluate high-risk accounts and analyse new customer processes and policies
  • Be responsible for Compliance and AML training of local employees

Requirements

  • 7+ years of experience in financial services firms regulated by the BaFin, covering functions related to Compliance or Money Laundering / Fraud prevention
  • Knowledge of banking and Capital market law (especially KWG, 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
  • Able to work from Germany (being based in Berlin is NOT required, though a plus)
  • English and German fluency (both written and spoken)

Benefits

  • 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 also hire decent people who are passionate about their craft and helping up 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).
  • We ensure we take time to have fun as a team. We're looking forward to having more time in-person again once this becomes possible again.

Our values:

  • Think Fearlessly, Act Fast: We embrace the accelerated pace and ambiguity of building a business on the frontier. We take risks and look forward.
  • Be Street Smart: We are always tuned in to what is going on. With ourselves, our team, our users and the market.
  • Step Up, Stand Together: Every individual is prepared to speak up for what they believe in and stand together as a team to deliver the result, even when the going gets tough.
  • Low Egos, High Expectations: Although we take our work seriously, we don’t take ourselves too seriously. We have hunger and humility in equal measure.
Didn’t find what you were looking for?
Updated: 2 days ago
Job ID: 2094067
About Upvest
At Upvest, we are building the financial infrastructure of tomorrow. Our vision is to create a world in which any asset can be owned and traded digitally by anyone, anywhere.
11-50 employees
Information Technology (IT)
Torstraße 177, Berlin, Germany
Torstraße 177, Berlin, Germany
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Contact Person
Pietro Arvati
Recruiting
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