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) and the UK Financial Conduct Authority (FCA). The company currently employs 200 people across Europe with its hubs in London andin Berlin, Germany.
The company is backed by the world’s largest venture capital funds and investors including Hedosophia, Sapphire Ventures, Bessemer Venture Partners, BlackRock, Earlybird, HV Capital and Notion Capital, 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.
With the FCA licence granted in October 2024, and go-live with our first clients scheduled for the upcoming months, we are looking for an individual to build and manage the Compliance and AML-related activities for our UK business, ensuring alignment with regulatory requirements and industry best practices.
This position is based in the UK (hybrid), with some travel expected to the Upvest office in London and Berlin.

• Develop and iImplement the Upvest UK compliance strategy including but not limited to the framework, policies and procedure and in-house controls to ensure adherence to the FCA rules and related legislation
• Implement the AML strategy ensuring AML procedures and controls align with regulatory obligations and expectations
• Manage Suspicious Activity Reports, provide AML guidance & training, and maintain oversight of financial crime risks, including fraud and bribery
• Maintain compliant KYB/KYC processes on Clients and suppliers, and perform risk analysis at regular intervals and on an ad hoc basis. Establish compliance monitoring programmes and reporting
• Ensure that conflicts of interest are prevented or that unavoidable conflicts of interest are adequately taken into account and managed appropriately
• Oversee the Firm’s compliance with the Consumer Duty and Outsourcing regulations
• Work in close cooperation with the Growth, Product and Operations departments to ensure compliance with internal standards and regulations, taking an active part in all new product processes
• Engage with senior management, and external parties (e.g. FCA, auditors) to maintain effective communication and compliance alignment
• 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 fintech space
• Conduct and maintain regular training and foster a compliance focused culture.
• Enhance and drive the Firm’s compliance monitoring plan