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Head of Compliance (f/m/x)

RemoteGermany, Berlin, BerlinBusiness - Legal

Job description

About 🍋

We're on a mission to open 100 million brokerage accounts within the next ten years. Building the infrastructure for FinTech companies to launch an investing feature or product in Europe. Delivering the full value chain of brokerage through one API.

Over the last quarters, we focused on bringing the first version of the API to the market. Thousands of developers signed up and hundreds started to build their individual use cases with us. This resulted in 80+ inquiries from companies to launch their own stock trading UI with With 15 million of fresh funding, we are now taking the next steps toward our mission: Building out our capabilities to allow (Fin)Tech companies to offer investment opportunities to their customers.

We have experienced first hand that brokerage infrastructure is broken. It’s a messy and complex problem that will take time to solve. But that’s exactly what we enjoy. Going to places nobody else dares and shielding our customers from the biggest pain. This not only creates tons of value when done right, but attracts the smartest minds - because we believe outlier companies are built by exceptional people like you.

Your Mission:

As Head of Compliance you will be the first in your role, tasked with building the foundations of the entire Compliance function (acc. to WpHG) of Thereby you will design and implement all the processes and controls that German & EU law requires from a securities institution. You will play a key role in bringing our brokerage API for companies to the market in a legally secure manner, while at the same time applying compliance best practices to deliver high quality outcomes to our customers.

At we value ownership a lot. Meaning you will have autonomy in shaping your area of responsibility. Reporting to our back-office managing director, and working with a team of tech, legal and regulatory professionals alongside you. This is your opportunity to set up the right control frameworks from the ground up and grow a team of passionate professionals around it. Leverage your previous experiences and helping us to build the investment infrastructure for the next 100 million retail investors in Europe.

You will:

  • Act as compliance manager under the subject of the WpHG, MaRisk and the MaComp for
  • Review and control of internal existing and new business processes, product developments and regulations with regard to legal and compliance requirements.
  • Develop and continuously update internal policies and procedures, as well as appropriate systems and controls to ensure compliance of with all applicable rules and regulations.
  • Design and implement a product release and product monitoring procedure according to product governance requirements and best practices and taking an active role in new product processes advocating for highest compliance standards.
  • Formally act as the central complaints management for
  • Regularly identify and update the list of all material legal rules and regulations according to the existing MaRisk guidelines, especially to prevent risks to the assets of
  • Supervise our customers and partners to uphold our compliance guidelines and support customers in setting up the right compliance process.
  • Acting as safeguarding officer to the client money and financial instruments within the meaning of section 81 para. 5 of the WpHG.
  • Act as first point of contact for supervisory authorities, law enforcement agencies and both internal and external auditors on all compliance related matters.
  • Stay up to date with all legal developments in the MaRisk/WpHG compliance sector and inform & train staff and managing directors as necessary and/or appropriate.

Job requirements

You will be successful in this role if:

  • You gained profound experience in compliance matters in the German or European financial industry — ideally in a securities firm. And by that you understand German & European financial market regulation very well.
  • You have previous experience as compliance manager or deputy compliance manager, either under MaRisk or WpHG.
  • You have gained relevant experience in modelling processes and controls and ideally in drafting organisational documents.
  • You stay on top on things! You are well versed in working in high paced environments, independently completing tasks and fulfiling documentation requirements in a time-sensitive environment with competing priorities.
  • “This is not my job!” is not part of your vocabulary - you are intrinsically motivated to deliver value for our customers by taking initiative and challenging the status quo.
  • You're able to apply complex regulatory frameworks to real life scenarios in a tech driven environment — this isn't always easy and will require you to think outside the box!
  • You can prioritize effectively and are able to sift through the noise and assess what's critical for the current priority.
  • You understand what working in a startup or a similar lean organization is like. Working in an early-stage startup will be high paced & unstructured at times, amazing & impactful at the same time.

How we take care of you:

🚀 Competitive compensation package:

We will offer you a mix of cash and stock options based on your appetite for upside.

💎 Make a real impact:

Shape the employee experience of all lemoneers. Decide on tools and processes, to make working at a great experience.

🕑 Flexible working hours:

We value focus time. Encouraging everyone to minimise fixed meetings and leverage asynchronous communication.

💻 Build your perfect setup:

Mac, Mechanical Keyboard, Screen. These are not expenses but investments. Please tell us what is needed to make you productive, and we will take care of it.

🏢 Onsite first, but remote flexible:

We all believe that personal collaboration is an integral part of working together, but offer flexibility for remote working. Once a quarter the whole team meets for our offsite to hone this belief. In case you want to relocate to Berlin, we can provide assistance and visa sponsorship.

📈 Grow with us:

We take your personal development seriously, meaning that we make sure to constantly mentor and challenge you so that you can reach your next level and beyond.

👶🏽 Get the flexibility you need:

Whether you have a family or a passion that you want to follow on the side. We want to offer you a setting that fits your current stage in life.

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.

About the process

Hiring can be an exhausting process, especially when you're the one trying to get hired. Therefore, we try to make this a fast and transparent process. Additionally, you will always have one contact person guiding you through the process and helping you to schedule meetings, and setting you up on a path of success. Your process will look like this:

  1. Get to know each other - Teresa - Chief of Staff | 45 minutes
  2. All things Compliance - Andreas - General Counsel | 60 minutes
  3. Brokerage Deep Dive - Markus - MD | 60 minutes
  4. Meet the lemoneers at our HQ
    1. Meet the Brokerage team | 60 minutes
    2. Meet the Founder | 45 minutes
    3. Ask us anything with the team | 45 minutes