Compliance Assurance Manager (f/m/d)

at  Upvest

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 170+ 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 ABN Amro 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 are also open to hiring remotely in Germany or Estonia for this role. If you’re currently based elsewhere but would like to move to Germany, we’re happy to support your relocation.

JOB REQUIREMENTS:

• 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)

• Conduct thorough risk assessments to identify, evaluate, and mitigate compliance risks associated with the company’s securities services
• Provide actionable insights and recommendations to the WpHG Compliance Officer and the Managing Directors regarding areas of vulnerability
• Design, implement, and conduct effective compliance controls to mitigate risks across various business departments, like Operations, Growth and Product
• Ensure that compliance controls are robust, scalable, and adaptable to both, changing regulatory requirements and a fast growing company
• Collaborate with cross-functional teams to ensure controls align with both internal policies and external regulatory standards
• Support the WpHG Compliance Officer helping to prepare regular reports to the Managing Directors
• Support the establishment of monitoring mechanisms and reporting of compliance metrics
• Lead or participate in internal and external audits of the compliance governance framework
• Act as a point of contact for audits and compliance controls from clients that have outsourced regulatory activities to Upvest