Senior Legal Counsel – Investment Operations

🕒 May 21

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Upvest

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 2017

💳 Fintech

🤝 B2B

💸 Finance

Fintech • B2B • Finance

Upvest is a financial technology company that offers an Investment API designed to help businesses create seamless investment experiences for their customers. They specialize in a range of services including portfolio management, fractional investing, securities custody, and crypto custody, enabling users to invest in stocks, ETFs, and more with ease. Their platform allows for rapid account creation, instant trade execution, and comprehensive reporting, making it a robust solution for modern investment needs.

📋 Description

• Be the legal authority on Upvest's post-execution infrastructure. • Advise on the legal framework governing clearing, settlement, and custody operations. • Own the legal framework around client asset protection and safekeeping obligations. • Lead the negotiation and ongoing management of agreements with CCPs, CSDs, custodians, and other post-trade infrastructure providers. • Serve as the internal expert on post-trade regulation across EU and German law. • Partner with Operations and Compliance to assess and respond to post-trade incidents, settlement failures, and operational risk events from a legal perspective. • Drive the modernization of Upvest's legal function.

🎯 Requirements

• At least 3–5 years post-qualification experience (PQE) in the financial services industry. • At least one German legal qualification (*Erste Juristische Prüfung*). • Hands-on understanding of clearing, settlement, and custody mechanics across a range of investment products — at the level of a seasoned practitioner who has worked directly with CCPs, CSDs, or custodians. • Experience in a regulated investment firm, custodian bank, CSD, infrastructure provider, or fintech with a meaningful post-trade operating footprint. • Strong command of EU and German financial law relevant to post-trade operations (MiFID, CSDR, WpDVerOV, MaRisk). Exposure to UK (FCA) regulation or other European NCAs is a strong plus. • Familiarity with adapting legal frameworks across European markets, particularly where post-trade infrastructure and regulation diverges by jurisdiction. • Enthusiasm for streamlining the legal function through technology — whether tooling, AI-assisted review, or smarter process workflows. • You focus on keeping the business running through clear-eyed legal judgement. You identify risk without creating paralysis, and give Operations and Compliance answers they can act on. • Professional fluency in English and German — essential for regulatory filings, custodian negotiations, and day-to-day stakeholder management.

🏖️ Benefits

• Recharge with 30 days of annual leave • Maintain a healthy lifestyle with sports benefits • Access confidential professional coaching • Enjoy the flexibility to work remotely abroad for up to 183 days a year • Recharge with UpRest, a one-month fully paid sabbatical after every 4 years of working at Upvest. • Each Upvenger has access to a personal development budget and the freedom to decide how to use it. • Work from any of our hubs in Berlin, London or Tallinn hybrid or remotely across Europe, depending on the role. We give you the choice and budget to work where you’re most comfortable and productive, either at home or in the office. • Compensation and equity: competitive, above-market salary and a participation in our employee equity program. • Participate in company-wide events, such as UpFest, dinners, offsites and our Holiday party, to connect with colleagues and celebrate our achievements. • We’re committed to a culture where everyone belongs and thrives.