Investment Compliance Manager (Fintech)

TL;DR

Investment Compliance Manager (Fintech): Owning and strengthening the Investment Compliance Function for a Brokerage-as-a-Service platform with an accent on WPHG regulatory requirements and securities business. Focus on monitoring first-line controls, advising product teams on new features, and translating regulations into practical guidance.

Location: Hybrid (Germany). Must work from the Berlin office 4 days or more per week.

Company

Brokerage-as-a-Service platform providing digital access to capital markets through a single API.

What you will do

• Own and develop the Investment Compliance Function focusing on WPHG requirements.
• Review key topics including best execution, inducements, appropriateness, and product governance.
• Monitor first-line implementation across customer journeys, marketing materials, and disclosures.
• Advise Product, Engineering, and Operations teams on compliant feature development.
• Collaborate with Partner Management to ensure external materials meet regulatory standards.
• Prepare compliance reporting for management regarding business development and incidents.

Requirements

• At least 5 years of professional experience.
• Minimum 3 years of hands-on WPHG compliance experience in a licensed fintech or bank.
• Strong expertise in German regulatory requirements for securities services.
• Fluent proficiency in both German and English.
• Strong communication and stakeholder management skills.

Nice to have

• Genuine interest in product development and translating regulation into practical innovation.

Culture & Benefits

• Flexible working hours with shared core hours (12:00 to 16:00).
• Hybrid work model with a strong emphasis on in-person collaboration in Berlin.
• Annual learning budget and regular mentorship opportunities.
• Sponsorship for Deutschlandticket for employees on unlimited contracts.
• Workation: ability to work remotely from anywhere in the EU for up to 60 days per year.