31 Investments Compliance jobs

About The Opportunity We are seeking an Investments Compliance Senior Associate to join our team in Berlin. As N26 expands its investment offerings, we are seeking a driven Senior Associate to champion regulatory integrity across our trading products. You will act as the vital bridge between ambitious product innovation and strict adherence to frameworks like MiFID II. From early ideation to market launch, you will actively advise cross-functional teams to ensure compliance is built-in by design. By partnering with Legal, Risk, and Engineering, you will develop scalable, tech-driven compliance solutions that protect the bank while maintaining our agility. Join us to safely shape the future of digital wealth creation and make a tangible impact at one of Europe's leading digital banks. In This Role, You Will Champion Compliance: Ensure our trading operations are fully aligned with European and national laws (e.g. MiFID, MAR, MiCAR, Regulatory Technical Standards, WpHG,...

Company Description At Swissquote, we’re all in. All in to shake things up. All in to build the bank people actually want to use. All in to make finance less boring — and a lot more powerful. We’re Switzerland’s leading digital bank — 1,400+ people across Europe, the Middle East and Asia, building real financial solutions for over a million clients worldwide. From trading and investing to everyday banking, we cover the full picture. We move fast, but we build things we’re genuinely proud of. Have a look behind the scenes by checking Humans of Swissquote on Instagram. Growing fast creates room. Room to try things, own things, and grow at a pace most places can’t offer. Whether you like the spotlight or prefer to just put your head down and do great work, there’s space for both here. We’ve ditched the dress code — but never the chance to celebrate. Big win or small, we make it count. The kind of place where the atmosphere takes care of itself. As an equal opportunity employer,...

What You Will Do You will be part of Klarna's Financial Crime Intelligence team — an in-house team of experts spanning the full spectrum of case complexity, from routine reviews to the most complex, high-risk investigations. Whether your background is in fast-moving fintech environments or the deeper regulatory rigor of traditional banking, you'll bring that experience to bear on real, high-stakes cases, applying expert judgement to determine when escalation, enhanced due diligence, or regulatory reporting is required. Your Work Spans Three Layers Complex investigations — you'll own the cases too nuanced, layered, or novel for standard processes to resolve, and document why, helping the team build a shared understanding of where our remit begins. Intelligence — you'll spot emerging typologies, translate signals into actionable insight, and help the team stay ahead of new fraud and financial crime patterns rather than just reacting to them. Enforcement — you'll help turn...

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team. Responsibilities: Manage daily transaction monitoring alerts and investigate potentially suspicious activity Review client deposits, withdrawals, and payment activity for financial crime risks Document investigation findings and maintain clear audit trails Escalate suspicious activity to the Head of Compliance and MLRO Prepare and support the submission of STRs and SARs through goAML Produce AML management information, including alert volumes, trends, outcomes, and escalations Support transaction monitoring testing, rule tuning, threshold reviews, and market abuse investigations Requirements: 2 to 3 years of experience in AML,...

Sygnum is a global digital asset banking group, founded on Swiss and Singapore heritage. We empower professional and institutional investors, banks, corporates and DLT foundations to invest in digital assets with complete trust. Our team enables this through our institutional-grade security, expert personal service and portfolio of regulated digital asset banking, asset management, tokenization and B2B services. In Switzerland, Sygnum holds a banking licence and has CMS and Major Payment Institution Licences in Singapore. The group is also regulated in the established global financial hubs of Abu Dhabi, Luxembourg and is registered in Liechtenstein. We believe that the future has heritage. Our crypto-native team of banking, investment and digital asset technology professionals are building a trusted gateway between the traditional and digital asset economies that we call Future Finance. To learn more about how Sygnum’s mission and values are shaping this digital asset ecosystem,...

At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more. If you’re passionate about developing your career, while helping others along the way, come join the Broadridge team. Overview We are looking for an experienced Regulatory Reporting Specialist (Manager) to join our Onboarding and BAU Technical Specialist team in Dublin - Dundrum office. This is a technical specialist role for an analytically minded professional with strong expertise in regulatory reporting across the funds and investment products landscape. The successful candidate will support the Operations team and clients as a subject matter expert, supporting the interpretation of regulatory requirements, the design of reporting solutions and the resolution of complex technical and data-related queries across a range of client and internal initiatives and client onboardings. While the role includes responsibility for client onboarding, implementation projects and...

We are looking for an experienced Risk Manager to join a CySEC regulated entity of the group. The successful candidate will be responsible for overseeing the company's market, liquidity, credit and operational risk framework, ensuring that risks are effectively identified, monitored and controlled in line with regulatory requirements and the company's risk appetite. This is a hands-on role for someone with strong industry experience and a solid understanding of trading and risk management environments. Responsibilities: Develop, implement and maintain the company's overall risk management framework, ICT oversight Monitor market, liquidity, credit, counterparty and operational risks Monitor trading activity, exposure, leverage, margin levels and client risk Analyse and manage the company's exposure across different instruments and liquidity providers Establish and monitor risk limits, thresholds and escalation procedures Conduct regular stress testing, scenario...

Company Description Fineco Bank is a leading European bank with a 20 years history and a fully digital DNA with a branchless approach since the start. Fineco is one of the banks with the widest products range available. We have developed a truly one-stop-solution which includes trading, investment and payment services. We have developed a 100% proprietary platform for trading and investment which covers all customer needs from trading listed and OTC product to investment product such as mutual funds and ETF. In addition to this we also offer banking and payment solution for domestic and international demand. Position La Risorsa, a Diretto Riporto Del Responsabile Della UOG Operational&Reputational Risk Di Capogruppo, All’interno Della Direzione CRO, Parteciperà Insieme Alle Altre Risorse Del Team All’evoluzione, Gestione e Formalizzazione Delle Attività Che Implementano Il Framework Di Gestione Del Rischio Operativo, Mediante Definizione, implementazione ed evoluzione...

Company Description We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.  We employ a global workforce of 6,500+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$857 billion. We work with 13 of the world’s top-15 private equity firms. Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.  We’re driven by our Group purpose, to power people and possibilities. Job Description The Business Compliance Manager role (hereinafter BCM) coordinates a team of...

We are seeking an experienced Compliance Officer / MLRO to join an ADGM-regulated broker-dealer investment firm. The role will be responsible for overseeing the company’s regulatory compliance and AML/CFT framework, providing practical regulatory guidance to the business, and managing the relationship with the FSRA. Responsibilities Lead and oversee the company’s Compliance and AML/CFT functions in accordance with ADGM and FSRA regulatory requirements. Act as the company’s Compliance Officer and MLRO, subject to FSRA approval. Maintain and regularly review compliance and AML policies, procedures, risk assessments, and internal controls. Develop and execute the annual Compliance Monitoring Programme and ensure timely remediation of identified issues. Oversee client onboarding and financial crime controls, including CDD/EDD, sanctions, PEP screening, transaction monitoring, and suspicious activity reporting. Provide practical regulatory advice and guidance to management and...

About The Job We are seeking a dedicated Senior Compliance Officer to support our Compliance department within the French branch of Saxo Bank A/S. You will be part of a close-knit team of three colleagues, including the Head of Compliance France, reporting to local management and collaborating with the Head of Compliance Europe in Copenhagen. The compliance function promotes integrity and adherence to legislation within our organization. As a Senior Compliance Officer, you focus on risk management, ethical issues, and encouraging responsible behaviour. You support local management and business lines with an independent, critical perspective, contributing to a transparent and ethical culture across investment services, AML, MiFID II, and client protection. This multifaceted role demands sharp regulatory knowledge, strong analysis, clear communication, and stellar organization while interfacing with AMF/ACPR regulators. Our team manages compliance risks across all domains,...

About the job At Peaks we build financial products people can trust: simple, transparent, and accessible. We believe investing should be for everyone. But trust doesn’t happen by accident. It’s built every day through strong controls, clear processes and smart risk management.   Our current Risk & Compliance Officer is moving on to a new challenge. That is why we’re looking for someone to step in, take ownership and help us keep Peaks compliant, in control and ready to grow. As our Medior Risk & Compliance Officer, you’re part of the team that keeps our risk and compliance foundations strong, while enabling the business to move fast. About Peaks We’re Peaks, a fast-growing and innovative Dutch fintech scale-up on a mission to make investing simple, accessible, and empowering for everyone. Since launching our app in 2017, we’ve grown into one of the largest investment platforms in the Netherlands and Germany, proudly serving over 100,000 customers. Behind...

About Revolut People deserve more from their money. More visibility, more control, and more freedom. Since 2015, Revolut has been on a mission to deliver just that. Our powerhouse of products — including spending, saving, investing, exchanging, travelling, and more — help our 70+ million customers get more from their money every day. As we continue our lightning-fast growth, 2 things are essential to our success: our people and our culture. In recognition of our outstanding employee experience, we've been certified as a Great Place to Work™. So far, we have 13,000+ people working around the world, from our offices and remotely, to help us achieve our mission. And we're looking for more brilliant people. People who love building great products, redefining success, and turning the complexity of a chaotic world into the simplicity of a beautiful solution. About the role Our Compliance team blends regulatory expertise with data-driven thinking to make sure our products meet...

DRW is a diversified trading firm with over 3 decades of experience bringing sophisticated technology and exceptional people together to operate in markets around the world. We value autonomy and the ability to quickly pivot to capture opportunities, so we operate using our own capital and trading at our own risk. Headquartered in Chicago with offices throughout the U.S., Canada, Europe, and Asia, we trade a variety of asset classes including Fixed Income, ETFs, Equities, FX, Commodities and Energy across all major global markets. We have also leveraged our expertise and technology to expand into three non-traditional strategies: real estate, venture capital and cryptoassets. We operate with respect, curiosity and open minds. The people who thrive here share our belief that it’s not just what we do that matters–it's how we do it. DRW is a place of high expectations, integrity, innovation and a willingness to challenge consensus. DRW is seeking a Risk Manager...

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team. Capital.com is looking for an experienced compliance leader to hold two Senior Manager Functions for our UK entity: Head of Compliance (SMF16) and Money Laundering Reporting Officer (SMF17). The role reports to the Group Chief Compliance Officer, has direct and unrestricted access to the UK Board and carries overall responsibility for the effectiveness of the UK compliance and financial crime frameworks. You will lead an effective and independent second line Compliance function, serve as the firm's principal point of contact with the FCA and UK law enforcement and advise the UK Board, Board Committees, Executive Committee and senior management on...

XTB - the largest Polish investment fintech with a global footprint, is looking for a Director of Regulatory Affairs & Licensing . We are seeking an experienced leader to shape XTB's regulatory strategy, oversee key licensing and authorization processes, and build professional, transparent, and constructive relationships with supervisory authorities in Poland and international markets. Key Responsibilities Lead and coordinate licensing and authorization processes in Poland and across international markets. Manage relationships with supervisory authorities throughout licensing proceedings, inspections, regulatory inquiries, and consultations. Build and maintain open, professional, and transparent partnerships with financial regulators and capital market institutions. Develop and execute XTB's regulatory strategy, including oversight and management of the company's regulatory licenses. Monitor regulatory developments and coordinate the implementation of new regulatory...

Who We Are. Axi is a leading global provider of margin and deliverable Foreign Exchange, Contracts for Difference (CFDs), and Financial Spread betting. Our business has evolved into a world-class, multifaceted brokerage with offices in six regions. With heavy investment in the latest trading technology, Axi seeks to offer the most comprehensive end-to-end trading experience available, servicing traders of all levels from beginners to institutional-level clients. Let's talk about the cool stuff you will do at Axi! The role is to work within the Risk Department to support the organisation’s compliance framework by helping ensure that regulatory obligations, internal policies, and risk‑management standards are understood, implemented, and maintained across the business. Your EDGE Assignment/You Will Provide support across a broad range of Compliance activities, including: Assisting with the implementation and ongoing monitoring of AI and automation initiatives...

About Finom Finom is a European tech startup headquartered in Amsterdam, and we’re on a journey towards revolutionizing the financial landscape for entrepreneurs worldwide. Our mission is to develop an all-in-one financial B2B solution that integrates banking functions, accounting, financial management, and invoicing into a seamless, mobile-first platform. We recently closed a €115 million Series C equity round (around $133 million), bringing our total funding to approximately $346 million. This significant investment follows a $105 million growth funding round from General Catalyst, a long-term backer since 2021 known for supporting companies like Airbnb, HubSpot, KAYAK, and Stripe. Finom's platform goes beyond traditional banking, offering invoicing and a growing suite of features, including AI-enabled accounting, aiming to simplify financial management for entrepreneurs. We're actively expanding our reach across key EU markets like Germany, France, the Netherlands, Italy,...

Purpose of Role To strengthen T212's financial crime control framework by providing independent second-line oversight of AML and CTF controls, investigations, and reporting - while acting as the Czech Branch's designated Contact Person for the FAU and primary owner of the Branch's System of Internal Principles (SVZ). What You'll Do Provide independent second-line oversight of AML controls, alerts, and investigations conducted by the First Line of Defence Conduct QA reviews of KYC, CDD, and EDD files to ensure adherence to internal policies and regulatory standards Review suspicious activity escalations and support the drafting of Suspicious Activity Reports (SARs/STRs) Act as the Czech Branch's designated Contact Person for the Financial Analytical Office (FAU) Own and maintain the Branch's System of Internal Principles (SVZ) and ML/TF risk assessment Develop and deliver AML/CTF training to Branch staff Serve as the primary liaison for CNB and FAU on supervisory...

Purpose of Role To ensure the Branch operates in full compliance with Czech capital markets law, applicable EU regulations, and T212's group-wide compliance framework, under the supervision of the Czech National Bank (CNB). What You'll Do Assist with day-to-day compliance in line with regulatory, legal, and internal policy requirements Perform risk assessments in relation to compliance risks Draft, modify, and implement company policies, procedures, and handbooks to reflect regulatory changes and business needs Assist in drafting compliance reports to the CNB Serve as the primary point of contact for CNB supervisory matters, including managing correspondence, regulatory enquiries, and on-site inspections Prepare and submit periodic regulatory reports to the CNB within statutory timeframes Own and operate the Branch's client complaints handling framework in line with ZPKT and MiFID II requirements Conduct and maintain the compliance monitoring programme, performing...