Senior Investment Compliance Manager

lemon.markets

Investment Compliance Manager ensuring regulatory compliance in securities services at lemon.markets. Collaborating with teams to align products and processes with regulatory requirements for investment compliance.

Posted 6/27/2026full-time🇩🇪 GermanySeniorWebsite

About the role

Key responsibilities & impact

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

What you’ll need

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.

Benefits

Comp & perks

🚀 Compensation package: We offer a competitive salary based on your experience and the value you bring to lemon.markets.
🕑 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. Individual contributor lemoneers work 4 days or more in our Berlin office, spending quality time together at events, on-sites/off-sites, or over team dinners.
📈 Grow with us: We take your personal development seriously. You’ll get regular mentorship and stretch opportunities, a clear career development framework with frequent feedback conversations, as well as an annual learning budget.
🌱 People & culture: You’ll feel our culture in the small things, like Polaroids from our lemoneers’ first day and our monthly new-joiner breakfasts, and 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 Beatvest — our partner for financial education and investing.
🏝 Workation: Get out of here! At lemon.markets 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.

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Applicant Tracking System Keywords

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Hard Skills & Tools

WPHG complianceinvestment complianceregulatory requirementsfinancial instrumentscustomer classificationconflicts of interestbest executionproduct governancecustomer order handlingcompliance reporting

Soft Skills

strong communicatorcollaborative stakeholder managerpragmaticownership-drivenadaptabilityproblem-solvinginterpersonal skillsteam collaborationanalytical thinkinginnovation support