Wise
Compliance Lead/ CCO US Assets
New York, , United States · Exec
Sponsorship not specifiedDetected 50 days ago
ComplianceStakeholder ManagementCustomer SupportLeadershipCommunicationMentoringOrganizational Skills
About the role
- We believe teams are strongest when they are diverse, equitable and inclusive.
- We're proud to have a truly international team, and we celebrate our differences.
Responsibilities
- Lead the design, implementation, and ongoing oversight of the compliance framework, policies, procedures, and governance for Wise's FINRA-regulated broker-dealer. and broader North America Assets activity (including the launch of an investment dealer in Canada).
- Own and provide senior 2LoD oversight of the U.S. broker-dealer compliance program, including supervisory controls, Written Supervisory Procedures, books and records, complaints, customer communications, and operational readiness.
- Serve as, or support, the designated AML Officer for Wise US Assets Inc., ensuring AML requirements are embedded into relevant processes and risks are appropriately escalated.
- Lead regulatory engagement with FINRA, the SEC, state regulators, and other relevant authorities, including examinations, inquiries, filings, remediation, and regulatory communications.
- Provide senior compliance advice and challenge to Product, Engineering, Legal, Banking, Operations, Customer Support, Financial Crime, and other 1LoD teams to support compliant product design, launch, and scaling.
- Build and oversee compliance readiness for customer support, complaints, disclosures, marketing, recordkeeping, business continuity, and other broker-dealer operating processes.
- Lead compliance reporting to senior leadership and relevant regional and group governance forums, including risks, issues, metrics, regulatory updates, and launch-readiness status.
- Develop and oversee monitoring, testing, issue management, and escalation processes for the broker-dealer compliance control framework.
- Experience building, operating, or materially enhancing a broker-dealer compliance program.
- Ability to translate complex regulatory obligations into practical, risk-based requirements for Product, Engineering, Operations, Customer Support, and other cross-functional teams.
Requirements
- A bit about you: You are an experienced compliance leader with deep broker-dealer regulatory knowledge, strong judgment, and the ability to operate independently in a fast-moving, product-led environment.
- You are an experienced compliance leader with deep broker-dealer regulatory knowledge, strong judgment, and the ability to operate independently in a fast-moving, product-led environment.
- You can move between detailed regulatory requirements and senior-level strategic decision-making.
- You are practical, solutions-oriented, highly organized, and able to bring structure to ambiguity.
Nice to have
- 12+ years of relevant experience in broker-dealer regulatory compliance, investment compliance, or equivalent regulated financial services compliance.
- Strong working knowledge of FINRA and SEC rules, broker-dealer supervisory expectations, and regulatory examination standards.
- Active FINRA Series 7, 24, and 63 registrations required.
- Demonstrated experience leading regulatory engagement, including examinations, inquiries, licensing, registrations, approvals, or remediation activity.
- Strong understanding of second line compliance oversight, including independent challenge, escalation, governance, monitoring, testing, and issue management.
- Experience advising on product launches, operational readiness, customer communications, complaints, books and records, supervisory controls, or similar broker-dealer obligations.
- Strong stakeholder management skills, including the ability to work effectively with senior leadership, regulators, external counsel, consultants, and cross-functional teams.
- Experience with Canadian investment or Assets-related regulatory requirements is a plus, but not required
Benefits
- Support the build-out of sustainable compliance coverage across North America Assets, including mentoring team members and helping shape the future U.S. and Canada operating model.
This listing is sourced directly from Wise's careers page and normalized into a canonical job model.