Compliance Lead CCO US Assets

Since 2011 weve had a clear mission: money without borders. Built by and for people who live global lives were the fairest easiest way to manage money across borders.

Wise is scaling its Assets offering across North America and we are looking for a Lead Compliance Manager to provide senior compliance leadership and oversight for Wises North America Assets entities including Wise US Assets Inc. and Wise Assets Canada Inc.

This is a critical L7 role responsible for leading the development implementation and ongoing oversight of the broker-dealer compliance program for Wise US Assets Inc. while also supporting broader Assets regulatory and operational readiness across North America. The role will provide strong second line compliance challenge regulatory engagement governance and cross-functional advisory support as Wise builds and scales its Assets product.

The successful candidate will operate with a high degree of independence partnering closely with Legal Product Engineering Banking Operations Customer Support Financial Crime and senior leadership to embed regulatory requirements into product design systems controls and operating processes.
Your mission:

Lead and scale institutional-grade compliance oversight for Wises North America Assets entities by building strong broker-dealer compliance foundations leading regulatory engagement supporting licensing and registration outcomes embedding supervisory and operational controls and enabling compliant product launch and growth across the U.S. and Canada.

Key responsibilities

• In this role you will serve as the Chief Compliance Officer (CCO) for the U.S. broker-dealer entity holding ultimate responsibility for its regulatory compliance framework and standing with oversight bodies.

• Lead the design implementation and ongoing oversight of the compliance framework policies procedures and governance for Wises 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.

• Oversee the state registration and licensing program for Wise US Assets Inc. including submission quality response management prioritization tracking and launch-readiness dependencies.

• 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.

• 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.

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 can move between detailed regulatory requirements and senior-level strategic decision-making. You are comfortable building compliance frameworks from the ground up engaging directly with regulators challenging senior stakeholders and enabling compliant growth without compromising second line independence.

You are practical solutions-oriented highly organized and able to bring structure to ambiguity.

Qualifications :

• 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.

• Experience building operating or materially enhancing a broker-dealer compliance program.

• Strong understanding of second line compliance oversight including independent challenge escalation governance monitoring testing and issue management.

• Ability to translate complex regulatory obligations into practical risk-based requirements for Product Engineering Operations Customer Support and other cross-functional teams.

• 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.

• Ability to manage multiple priorities lead complex workstreams and deliver outcomes in ambiguity.

• Demonstrated ability to mentor others and contribute to the build-out of a sustainable compliance operating model.

• Experience with Canadian investment or Assets-related regulatory requirements is a plus but not required

Additional Information :

For everyone everywhere. Were people building money without borders  without judgement or prejudice too. We believe teams are strongest when they are diverse equitable and inclusive.

Were proud to have a truly international team and we celebrate our differences.
Inclusive teams help us live our values and make sure every Wiser feels respected empowered to contribute towards our mission and able to progress in their careers.

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Remote Work :

No

Employment Type :

Full-time