(Senior) Investment Compliance Manager (fmx)

About

We enable anyone to be an investor. Our mission is to grow investing opportunities for all European customers and businesses. By empowering FinTechs banks and wealth managers to offer investment products we help create financial well-being for their customers.

is a Brokerage-as-a-Service platform: simple digital access to capital markets through a single API. Our API-first infrastructure abstracts brokerage complexity with a well-documented API a self-service customer operations portal and a clear regulatory framework so partners can launch customer-centric compliant products in weeks not months.

As part of the dwpbank Group we share a clear goal: we enable anyone to be an investor by making investing in capital markets more accessible. By combining dwpbanks long-standing expertise and stability with technology-first mindset and speed we are building a modern modular securities services ecosystem. Together we offer faster time-to-market modular services and a modern customer experience that helps financial service providers stay competitive and respond more flexibly in a changing market.

Your Mission

As our Investment Compliance Manager you will own and strengthen our Investment Compliance Function across the securities business ensuring that our products processes and partner activities remain fully aligned with WPHG requirements. The role sits close to our Investing Domain and Customer Lifecycle Domain and is designed as an embedded compliance role with strong exposure to Product Engineering Operations Partner Management and other first-line functions. Your work will directly support compliant product growth by ensuring that new features instruments customer journeys and partner setups are reviewed early and implemented in line with regulatory the first months your focus will be on understanding the existing framework taking end-to-end ownership of day-to-day WPHG compliance topics and further detailing and improving an already solid control setup. You will have the opportunity to combine oversight with forward-looking advisory work helping the business move quickly while maintaining high regulatory standards in a product-driven and highly collaborative environment.

In this role you will:

• 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 informed clearly and not steered inappropriately.

• Advise Product Engineering Operations in the Investing and Customer Lifecycle Domains on new features financial instruments customer types and process changes so regulatory requirements are considered early and product development can move forward 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.

Youll be successful in this role if you:

• 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.

How we take care of you:

• Compensation package: We offer you a competitive salary based on your experience and the value-add you bring to .

• Flexible working hours: We trust people to choose when they work best and avoid a rigid 9 to 5 mindset. You decide on the rhythm that helps you do your best work with only shared core hours from 12:00 to 16:00 to support collaboration.

• Hybrid work setup: You can work from anywhere in Germany within a hybrid model. At the same time in-person collaboration is a key part of our culture. That being said individual contributer lemoneers work 4 days or more in our Berlin office spending quality time together with the team at events onsites/offsites or over team dinners.

• Grow with us: We take your personal development seriously! Youll get regular mentorship and stretch opportunities a clear career development framework with frequent feedback conversations as well as an annual learning budget.

• People & culture: Youll feel our culture in the small things like Polaroids from our lemoneers first day and our monthly new-joiner breakfasts. But also in the bigger things like celebrating the onboarding of new partners or our annual offsites where the whole company comes together to connect reflect and celebrate.

• Perks & benefits: We choose benefits that add actual value. We sponsor a Deutschlandticket for employees on unlimited contracts plus 50% off on Beatvest - our partner for financial education and investing.

• Workation: Get out of here! At you can work remotely from anywhere in the EU for up to 10 consecutive days at a time and up to 60 days per year in total.

As an equal opportunity employer is committed to building an inclusive workplace. The company welcomes people from all different backgrounds including age citizenship ethnic and racial origins gender identities individuals with disabilities marital status religions and ideologies and sexual orientations to apply.

If you feel this role could be a great match for you even if you dont tick every box wed still love to hear from you please apply.

You have any questions Feel free to contact us via

Required Experience:

Manager

Employment Type : Full-Time
Experience: years
Vacancy: 1