Senior Compliance Officer (m/f/d)

Permanent employee, Full-time · New York

About us

RAISIN

We are a dynamic, fast-growing fintech company based in Berlin with a mission to break down barriers to better saving across Europe. Our platforms give customers simple, transparent access to the Raisin deposits marketplace, where our partner banks from all over Europe offer an ever-growing range of competitive savings products. In Germany, we also broker cost-effective investment portfolios and pension products. Raisin has raised more than €195 million in funding from renowned investors including Goldman Sachs, PayPal Ventures, Index Ventures, btov Ventures, Ribbit Capital, Orange Digital Ventures and Thrive Capital. We have also been featured on the FinTech50 — the list of Europe’s top 50 fintechs — every year since 2016, ranking in the top 5 in 2018 and 2019. 

Our marketplace is available in over 30 countries across Europe through www.raisin.com, with dedicated country platforms in Germany, Spain, the UK, Austria, France, Ireland, and the Netherlands. Since launching in December 2013, we have brokered €16 billion in savings for more than 200,000 satisfied customers to more than 80 partner banks. Our distribution partners, such as Commerzbank, o2 Telefónica Deutschland, N26, ClearScore and Yolt among many others, extend Raisin’s impact as well as their own range of offers: they make our deposits marketplace available to their customers.



Your Profile
  • Strong educational background including an undergraduate degree (MBA or Law Degree is a plus) and 10 years of relevant experience.

  • FINRA series 24, 65/66, and 7 licenses are required.

  • Experience and knowledge of FINRA, SEC, state securities and firm-specific rules and regulations.

  • Compliance, operations or legal experience with a financial services' organization. Broker-dealer experience is required.

  • Fintech or relevant start-up experience is a plus.

  • Familiarity with the knowledge of the security industry (product, corporate governance, compliance and administrative perspective-including knowledge of Federal Securities regulations).

  • Willingness and ability in performing routine tasks, developing and enhancing broker-dealer compliance program elements.

  • Demonstrated ability to influence and work cross-functionally.

Your Responsibilities

  • Lead, manage and deliver an effective compliance function supporting the Broker-Dealer, including the NMA application process. 

  • Establish strong working relationships with internal and external business partners, clients and regulatory bodies.

  • Design and implement end-to-end compliance oversight including effective controls designed to monitor the effectiveness of the compliance program; ensuring and supporting the review of the appropriateness of the compliance system and procedures and implement necessary remediation for any identified deficiencies.

  • Maintain in-depth knowledge of the business and its activities in order to ensure adequate compliance oversight and resources as the business needs evolve over time; advise the business on emerging compliance issues.

  • Identify and respond to ongoing regulatory changes, ensure implementation of required policies and procedures and appropriate operational and compliance oversight.

  • Ensure completeness, accuracy and timeliness of all applicable regulatory reporting requirements and disclosures.

  • Participate and, where appropriate, coordinate and lead resolution of significant regulatory inquiries and customer complaints.

  • Develop solutions and lead any required remediation of compliance gaps to completion.

  • Maintain and update the broker-dealer advisor Compliance manual and assist in annual and periodic review of the firm’s written supervisory procedures.

  • Oversee and coordinate surveillance, monitoring and annual testing to ensure effectiveness of the broker-dealer Compliance program.

  • Oversight of financial crime compliance (Sanctions, AML, KYC).

  • Represent the Broker-Dealer Compliance group in cross functional firm initiatives.

Your application

Thank you for considering a career at Raisin GmbH. Please fill out the following form. In case you are experiencing problems with the document upload, mail your documents to careers@raisin.com.

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