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

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

companyUpvest
locationKreisfreie Stadt Berlin, Berlin, Germany
location Finance, Accounting & Legal

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

Job description

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. Our bold long-term view is backed by Europe's largest tech VCs Earlybird, Notion Capital, Partech and HV Capital. Today, we count 28 talented people from 14 different countries and we want to keep expanding our team of Upvengers.

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.

This role will give you the opportunity to:

  • 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)

      Why Upvest?

      • Exciting opportunity to build the future of digital securities!
      • A young, dynamic and fast-growing startup with flat hierarchies and open communication
      • As we strongly believe in personal development, we offer private coaching sessions and educational budget
      • A modern office in the heart of Berlin Mitte, a brand-new Mac, flexible working hours, option of working from home, regular off-site events, free drinks/snacks and many more...
      • We measure our performance with the help of OKRs and love to celebrate our successes
      • A relocation package with visa support

      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.

      If you want to build the financial infrastructure of tomorrow, a new challenge awaits you!