Senior Investment Compliance Manager

Responsibilities

• Review key WPHG topics such as best execution, inducements, appropriateness, product governance, customer classification, conflicts of interest, market abuse, safeguarding of customer assets, and complaint‑related processes, ensuring that the existing framework is applied correctly and further developed where needed.
• Monitor first‑line implementation and controls across customer order handling, partner activities, tied‑agent setups, and customer‑facing journeys, including marketing materials, app flows, and disclosures, to ensure customers are clearly informed and not inappropriately steered.
• Advise Product, Engineering, and Operations in the Investing and Customer Lifecycle domains on new features, financial instruments, customer types, and process changes so that regulatory requirements are considered early and product development can proceed in a compliant way.
• Collaborate closely with Partner Management and relevant internal teams to assess whether partner‑operated materials and processes under our license meet our standards and regulatory obligations.
• Prepare and further develop WPHG compliance reporting for management, including regular assessments of business development, customer and transaction volumes, incidents, and potential deviations from internal or regulatory requirements.

Requirements

• You bring at least 5 years of professional experience, including a minimum of 3 years of hands‑on WPHG compliance experience in a licensed fintech or bank, with a clear focus on securities services or securities distribution.
• You have strong expertise in German regulatory requirements relevant to investment compliance, including topics such as best execution, inducements, appropriateness, product governance, customer classification, conflicts of interest, and related control frameworks.
• You are a strong communicator and collaborative stakeholder manager who can work effectively with Product, Engineering, Operations, Partner Management, and other first‑line functions in an embedded setup.
• You are fluent and comfortable operating in both German and English in a professional environment.
• You have a genuine interest in product development and enjoy translating regulation into practical guidance that supports innovation without compromising compliance.
• You work in a hands‑on, pragmatic, and ownership‑driven way, thrive in dynamic environments, and are motivated to improve structures rather than just maintain them.

ATS Optimization Keywords

Hard Skills

• WPHG compliance
• investment compliance
• regulatory requirements
• financial instruments
• customer classification
• conflicts of interest
• best execution
• product governance
• customer order handling
• compliance reporting

Soft Skills

• strong communicator
• collaborative stakeholder manager
• pragmatic
• ownership‑driven
• adaptability
• problem‑solving
• interpersonal skills
• team collaboration
• analytical thinking
• innovation support