Head of Risk & Compliance, Peaks
Part-time
+ Employee Stock Ownership Program
Simple investing for everyone
Be an early applicant
Simple investing for everyone
21-100 employees
Be an early applicant
+ Employee Stock Ownership Program
21-100 employees
Company mission
To empower people from all walks of life to realise their financial ambitions.
Role
Who you are
- You bring clarity to complexity. You are experienced, decisive, and pragmatic. You have:
- 8+ years experience in financial services risk & compliance (investment firms preferred) and certified as a Risk and Compliance professional
- Proven experience in building risk and compliance frameworks, license applications and engaging with regulators
- A ‘getting things done’-mentality, hands-on mindset and the persistence to follow through
- A solution-oriented approach: you don’t stop at identifying risks
- Strong communication skills
- A sharp analytical mindset
- Leadership skills: you inform, motivate, mentor, and create accountability
- Strong verbal and written skills in both Dutch and English
What the job involves
- At Peaks we build financial products people can trust: simple, transparent, and accessible. We believe investing should be for everyone. But scaling responsibly requires a strong backbone
- After having built our Risk & Compliance framework in the last seven years, our current Head of R&C is moving with her family to Sweden
- Therefore we are now looking for a new entrepreneurial Risk & Compliance leader to step in, take ownership and keep us ahead of the regulatory curve
- That’s where you come in. As our new Head of Risk & Compliance, you are not a gatekeeper: you are the strategic partner of the Management Board of Peaks and directly report to the CEO. You are the one who helps Peaks grow fast in a controlled manner without breaking the things that matter
- You are the guardian of our risk framework and compliance culture within Peaks
- You lead the way in navigating the complex world of MiFID II, PSDII, Wft, AML and related regulations — while building a culture where doing the right thing is second nature
- You lead a strong and efficient R&C team that looks for solutions, not obstacles
- With oversight of European and local regulatory developments, you ensure Peaks:
- Remains compliant
- Stays in control of operational, regulatory and IT risks
- Embeds Risk & Compliance in every stage of product development
- Make risk awareness and compliance part of how we think and build
- Lead and develop the Risk & Compliance team (4 Fte)
- Shape and evolve our risk management framework (SIRA/BRA/ICARAP)
- Enhance integrity within the company
- Translate regulatory requirements into scalable policies and processes
- Balance strict regulatory standards with seamless user experience
- Guide the business on risk appetite, controls, limits and reporting
- Own regulatory change management & oversight (Wft, MiFID II, GDPR, AML/KYC, EAA, etc.)
- Advise the management board on risk appetite and strategic decisions
- Advise the marketing and product teams on compliance and operational risks
- Oversee CDD (KYC/AML) and transaction monitoring
- Act as primary contact for our supervisors and external legal and internal audit partners
- Lead internal regulatory reporting
Our take
The retail investor market is growing, thanks to investment apps like Robinhood and E*TRADE democratising access to the markets and empowering non-professionals to make their money work. It’s stimulated the fintech startup scene globally, too, and whilst many are chasing the hands-on retail investors, a niche has opened up for ‘small change’ investment apps for the hands-off customer. Peaks is one of these, allowing users to round up card payments and automatically invest it.
These apps are great for early-stage, short term investors, even though they will tend to work out more costly in the long run. As such, they tend to be directed at young Gen X and the emerging Gen Z markets - and here’s where Peaks has smartly distinguished itself from competitors like Stash and Acorn. Peaks is a values-driven app which only permits investments in sustainable ETFs. This is likely to play well with the younger generations, who expressly seek out brands and companies with the kind of eco-friendly ethos that aligns with their beliefs.
Steph
Company Specialist at Welcome to the Jungle
Insights
-2% employee growth in 12 months
Company
Funding (1 round)
Sep 2021
$5.8m
GROWTH EQUITY VC
Total funding: $5.8m
Company HQ
Grachtengordel-West, Amsterdam, Netherlands
Leadership
Tom Arends
(Co-Founder & CEO)Previously spent almost 7 years at Rabobank as the Head of Quantitative Investment Research and as a Lead Business Change Manager for Savings and Investments. They also spent 8 years at Robeco in various roles, including Team Leader for Product Research and Manager for Organisational Change.
Jeroen Mulder
(COO)Alongside Peaks, they are also a Managing Partner at Haerlem Capital. They previously spent over 2 years at UL Transaction Security in a number of roles, including Commercial Director of Europe (UL Transaction Security) and Global Product Manager of the Transaction Security Division.
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