LeX-Wealth is seeking an experienced and professionally qualified Responsible Person & Compliance Lead to assume regulatory responsibility for the company’s insurance brokerage activities.
This role combines regulatory responsibility with structured compliance oversight for a small advisory team of currently four advisers. The position ensures that the firm maintains full compliance with German insurance mediation law and regulatory standards as the business develops.
This is a long-term, part-time position with clearly defined authority, supervisory responsibility, and operational integration into the firm’s governance structure.
Role Purpose:
- Act as the formally appointed Responsible Person under §34d GewO for LeX-Wealth.
- Ensure advisers operate in line with regulatory, documentation, and conduct requirements.
- Protect the business from regulatory and compliance risk through appropriate supervision and oversight.
Time Commitment & Working Pattern:
- Part-time: Approximately 1–1.5 days per week.
- Flexible and remote-friendly working arrangement.
- It is possible to hold another position provided there is no conflict of interest.
Given the current size of the advisory team, this time allocation is considered proportionate. The time commitment will be reviewed in line with business growth and regulatory requirements.
Key Responsibilities:
Regulatory Responsibility:
- Act as the appointed Responsible Person under §34d GewO.
- Maintain oversight of ongoing regulatory and licence obligations under:
- §34d GewO
- VersVermV
- Applicable IDD requirements
- Ensure continued compliance with professional indemnity insurance requirements.
- Maintain appropriate documentation and compliance standards across the firm.
Adviser Oversight & Supervision:
- Provide structured supervision of advisers operating under the licence.
- Conduct periodic file sampling to review:
- Suitability and advisory documentation
- Transparency and disclosure standards
- Alignment with regulatory conduct requirements
- Monitor compliance with continuing professional development obligations.
- Escalate material regulatory risks or concerns to the Managing Director.
Regulatory Interface:
- Act as the primary contact point for the competent IHK where required.
- Liaise with external compliance providers or auditors as necessary.
- Support regulatory reviews or inspections.
Compensation:
- A fixed, predictable income
- Flexible working arrangements
- Long-term role security
- Annual review of scope and compensation
Reporting Structure: This role reports directly to the Managing Director. The Responsible Person exercises independent professional judgement in regulatory matters.
Location: This is a remote position based in Germany, with a preference for Munich, Frankfurt, or Berlin.
LeX-Wealth – Role Vacancy (Job Specification)
Experience & Background:
- Proven experience as a §34d responsible licence holder, compliance officer, or senior regulatory professional within an insurance brokerage or financial services firm.
- Strong working knowledge of German insurance mediation regulations and compliance requirements.
- Comfortable assuming formal regulatory responsibility.
Skills and Abilities:
- Fluent in English and German (spoken and written).
- Strong risk awareness and attention to detail.
- Excellent understanding of regulatory frameworks and licence obligations.
- Ability to work independently and exercise sound professional judgement.
- Clear and confident communication with advisers, regulators, and management.
- Organised and methodical approach to oversight and documentation.
Personal Attributes:
- High integrity and strong professional ethics.
- Calm, reliable, and consistent.
- Long-term mindset and commitment to stability.
- Pragmatic, fair, and solutions-focused.
- Values structure, clarity, and professionalism over rapid growth or personal recognition.
Qualifications:
- Holds the required §34d qualification and meets all regulatory requirements to act as a responsible licence holder in Germany.
Date of Posting: 02.03.2026
Application Deadline: 31.03.2026