About the role
structured by ORIHelp shape retail investing in Germany by advising on investor protection rules and strengthening controls. Join our European hub and help build innovative investment products and services, supported by the scale and expertise of a leading global financial services firm.
What you will do
- Provide timely, risk-based compliance advice and credible, constructive challenge for retail investment products, services, customer journeys, and operational processes
- Act as a subject matter expert on German and European investor protection requirements, including the German Securities Trading Act (Wertpapierhandelsgesetz) and MiFID II
- Interpret regulatory obligations and support translation into clear, practical, and sustainable processes and controls
- Advise on requirements relating to suitability and appropriateness, client disclosures, costs and charges, inducements, conflicts of interest, product governance, recordkeeping, and customer communications
- Review new products, material changes, and business initiatives to identify compliance risks and assess whether regulatory requirements have been addressed appropriately
What they are looking for
- Experience providing compliance coverage and advisory support for retail investment activities and related operational processes
- Working knowledge of German and European investor protection expectations applicable to retail investments, including MiFID II
- Ability to interpret regulatory requirements and translate them into practical processes and control expectations
- Experience advising on customer-facing topics such as disclosures, communications, conflicts of interest, product governance, and recordkeeping
- Experience reviewing new products or material changes, identifying compliance risks, and providing clear, documented feedback
- Strong stakeholder management skills and ability to partner effectively across Product, Operations, Legal, Risk, Control Management, and Technology
- Ability to apply risk-based judgment, prioritize effectively, and deliver timely guidance in a complex, fast-moving environment
- Strong written and verbal communication skills, with the ability to provide credible and constructive challenge at senior levels
Nice to have
- Experience working within, or closely supporting, a German Securities Trading Act (WpHG) compliance function
- Experience supporting regulatory examinations, supervisory inquiries, or interactions with the German Federal Financial Supervisory Authority (BaFin)
- Knowledge of regulatory expectations applicable to digital or self-directed retail investment platforms in Germany and Europe
- Familiarity with the Market Abuse Regulation, including surveillance, escalation, and reporting expectations
- Experience operating as a generalist compliance advisor across multiple regulatory topics, stakeholders, and priorities
- Experience with regulatory change programs, remediation initiatives, or new market-entry projects, including new product approval processes
- Relevant legal, compliance, risk, or financial services qualification
Full posting text
Help shape retail investing in Germany by advising on investor protection rules and strengthening controls.
Join our European hub and help build innovative investment products and services, supported by the scale and expertise of a leading global financial services firm. This is an opportunity to shape a growing business while helping to protect customers, strengthen controls, and enable sustainable, risk-balanced growth.
As a Compliance Officer, Vice President at JPMorganChase within the Germany Compliance team in Berlin, you will provide independent second line of defense compliance coverage for retail investment activities, with a focus on investor protection requirements under the German Securities Trading Act (Wertpapierhandelsgesetz) and the Markets in Financial Instruments Directive (MiFID II). You will also act as a broader compliance advisor across applicable German and European regulatory expectations, partnering across teams to drive strong customer outcomes and sustainable controls.
Your coverage will include retail investment products, services, customer journeys, and supporting operational processes, with regular engagement across senior stakeholders and governance forums. You will collaborate closely with partners including Product, Operations, Legal, Risk, Control Management, Technology, and other Compliance teams.
Job responsibilities
Provide timely, risk-based compliance advice and credible, constructive challenge for retail investment products, services, customer journeys, and operational processes
Act as a subject matter expert on German and European investor protection requirements, including the German Securities Trading Act (Wertpapierhandelsgesetz) and MiFID II
Interpret regulatory obligations and support translation into clear, practical, and sustainable processes and controls
Advise on requirements relating to suitability and appropriateness, client disclosures, costs and charges, inducements, conflicts of interest, product governance, recordkeeping, and customer communications
Review new products, material changes, and business initiatives to identify compliance risks and assess whether regulatory requirements have been addressed appropriately
Participate in new business initiatives and change-governance processes, providing documented compliance advice, conditions, and challenge
Support the business in evaluating complex regulatory questions and developing compliant, proportionate solutions focused on positive customer outcomes
Provide broader retail investments compliance support beyond investor protection topics, including governance and policy implementation, regulatory change, market conduct topics (including the Market Abuse Regulation), and communications oversight
Required qualifications, capabilities and skills
Experience providing compliance coverage and advisory support for retail investment activities and related operational processes
Working knowledge of German and European investor protection expectations applicable to retail investments, including MiFID II
Ability to interpret regulatory requirements and translate them into practical processes and control expectations
Experience advising on customer-facing topics such as disclosures, communications, conflicts of interest, product governance, and recordkeeping
Experience reviewing new products or material changes, identifying compliance risks, and providing clear, documented feedback
Strong stakeholder management skills and ability to partner effectively across Product, Operations, Legal, Risk, Control Management, and Technology
Ability to apply risk-based judgment, prioritize effectively, and deliver timely guidance in a complex, fast-moving environment
Strong written and verbal communication skills, with the ability to provide credible and constructive challenge at senior levels
Preferred qualifications, capabilities and skills
Experience working within, or closely supporting, a German Securities Trading Act (WpHG) compliance function
Experience supporting regulatory examinations, supervisory inquiries, or interactions with the German Federal Financial Supervisory Authority (BaFin)
Knowledge of regulatory expectations applicable to digital or self-directed retail investment platforms in Germany and Europe
Familiarity with the Market Abuse Regulation, including surveillance, escalation, and reporting expectations
Experience operating as a generalist compliance advisor across multiple regulatory topics, stakeholders, and priorities
Experience with regulatory change programs, remediation initiatives, or new market-entry projects, including new product approval processes
Relevant legal, compliance, risk, or financial services qualification
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