Investment Compliance Manager

As Investment Compliance Manager, you will own and strengthen the Investment Compliance Function across the securities business, ensuring that products, processes, and partner activities remain fully aligned with WPHG requirements. This embedded compliance role works closely with Product, Engineering, Operations, Partner Management, and other first-line functions to support compliant product growth.

What you'll do

• 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.
• 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.
• Advise Product, Engineering, Operations in the Investing and Customer Lifecycle Domains on new features, financial instruments, customer types, and process changes.
• Collaborate closely with Partner Management to assess whether partner-operated materials and processes under the license meet 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.

What you'll need

• 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 focus on securities services or securities distribution.
• Strong expertise in German regulatory requirements relevant to investment compliance, including best execution, inducements, appropriateness, product governance, and related control frameworks.
• Strong communication and stakeholder management skills to work effectively with Product, Engineering, Operations, and Partner Management in an embedded setup.
• Fluent in both German and English in a professional environment.
• Genuine interest in product development and translating regulation into practical guidance that supports innovation without compromising compliance.
• Hands-on, pragmatic, and ownership-driven approach; thrives in dynamic environments and motivated to improve structures.

What they offer

• Competitive salary based on your experience and value.
• Flexible working hours with core hours 12:00-16:00 for collaboration.
• Hybrid work from Germany with regular in-office collaboration in Berlin.
• Mentorship, stretch opportunities, and annual learning budget.
• Deutschlandticket sponsorship and 50% off Beatvest financial education.
• Workation: up to 10 consecutive days and 60 days per year in the EU.