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About the Role
We are expanding into Germany and strengthening our Compliance Team to uphold the company's commitment to integrity and regulatory adherence.
Responsibilities
- Ensure operational excellence in all relevant compliance areas while aligning with BaFin’s regulatory guidelines.
- Provide expert compliance advice on current and future products, services, and overarching compliance topics such as product governance, vulnerable customers, conflict of interest, outsourcing, and conduct risk.
- Support and drive compliance projects, collaborating with cross-functional teams to deliver results within agreed timelines.
- Oversee the financial promotions review process, ensuring all materials meet regulatory standards.
- Maintain and update compliance policies and procedures, ensuring effective implementation across the organization.
- Build and manage relationships with internal stakeholders, offering tailored compliance guidance to support business objectives.
- Collaborate with the Legal team to manage regulatory interactions, including the relationship with BaFin.
Requirements
- Proven experience in compliance, with a track record of driving operational excellence within a MiFID-regulated firm.
- At least five years of experience in a compliance-focused role, with exposure to senior responsibilities.
- Strong understanding of regulatory compliance frameworks and guidelines, particularly those relevant to BaFin.
- Exceptional organizational skills, with the ability to take ownership and deliver under pressure.
- Experience working in international environments, coordinating across different time zones using digital tools.
Skills
- MiFID-regulated firm experience
- BaFin regulatory guidelines
- Product governance
- Vulnerable customers
- Conflict of interest
- Outsourcing
- Conduct risk
- Financial promotions review
- Compliance policies and procedures
- Stakeholder management
- Regulatory interactions
- English proficiency
- German language skills
- Organizational skills
- Digital tools
Location
- Germany
Work Type
- Full-time
Experience Level
- Senior level
Education Level
- Degree level in Law, Finance, Business, or a related field
Salary/Compensations
- Generous remuneration package
Benefits
- Challenges that will help you grow and realise your potential really fast
- Opportunity to make a big impact - you will build innovative services used by millions of investors to build wealth
- Work with smart, spirited, helpful, high-performing colleagues with a common goal
- An environment where nothing is set in stone
- Appreciation for your talent and ideas
About the Company
- Our mission is to enable everyone to build wealth
- We reinvent how trading and investing work by creating exceptional products people love.
- Fostering a culture of excellence and high velocity is the key to our success.
- Over the past few years, our client base has grown to over 5 million, and client assets have grown to over €30 billion.