Compliance Officer (WpHG) (m/w/d)

Your growth is our growth. Our success is your success.

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About Raisin

About Raisin Bank

As part of the Raisin family, Raisin Bank combines the experience and security of a bank with the flexibility and innovation of a start-up. Our team is diverse and dynamic, offering a space where you can leverage your strengths and develop further.

Founded in 1973, our innovative service bank holds a full banking license and brings decades of experience as a German credit institution. We process loan portfolios and receivables of selected borrowers, providing performance and advice with efficient solutions. Since 2019, Raisin Bank has been a wholly-owned subsidiary of Raisin, operating under the name Raisin Bank AG.

About Raisin US

About Raisin UK

Team

Tech Stack

Your Responsibilities

• Assume the WpHG-Comliance Officer function for the bank.
• Oversee and monitor governance, policies, processes, and the overall quality of the bank\’s investment services.
• Provide advice, staff training support, daily assistance, and participate in establishing new policies and procedures within investment services.
• Set up, maintain, and execute risk analysis and control plans for investment services.
• Coordinate with internal and external auditors and supervisory authorities (BaFin).
• Prevent conflicts of interest and safeguard unavoidable conflicts.
• Supervise training and ensure the suitability of personnel in custody and digital wealth management.
• Report to management and supervisory board.
• Ensure compliance with legal requirements for the WpHG compliance function according to Art. 22 (2) MiFID-2, BT 1 MaComp, and other relevant laws.

Your Profile

• University degree in Business Administration, Law, or relevant discipline.
• Proficiency with relevant laws/regulations (§§ 3, 4 Nr. 4, 6 WpHGMaAnzV; BT 1.3.1.3 MaComp).
• Strong communication and interpersonal skills for effective collaboration.
• Knowledge & Experience:
• Understanding of European and German legal provisions for investment services.
• Knowledge of BaFin regulations, ESMA guidelines, and standards.
• Familiarity with types of investment services, associated risks, and financial instruments.
• Ability to design processes to prevent and detect regulatory violations.
• Understanding of tasks, responsibilities, and powers of the compliance function and officer.
• Knowledge of supervisory authority organizational structures and conflict of interest management.

Our Benefits

Benefits der Raisin Bank

Join our mission, join our team – and grow with us!

As part of the Raisin family, Raisin Bank combines the security of a bank with the agility of a start-up.
Our employees are diverse, and we offer a dynamic, international environment to develop your skills. We provide:

• Employee Development Budget of €2,000 and access to Babbel for continuous learning.
• Exciting projects in banking and start-up environments.
• A fully cloud-based Banking-as-a-Service Platform.
• Industry-leading tools for analysis, development, and collaboration.
• Flexible hours, 30 days holiday, plus Christmas and New Year\’s Eve off.
• Supportive learning environment and collegial culture.
• Company pension schemes and capital-forming payments.
• Subsidized Deutschland Ticket (€25/month).
• Option to lease a bike through JobRad with tax benefits.
• A diverse team of experts to learn from and inspire each other.

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