Description
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 Wise's North America Assets entities. 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.
Your mission: Lead and scale institutional-grade compliance oversight for Wise's 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:
- 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 Wise's FINRA-regulated broker-dealer and broader North America Assets activity.
- 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.
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.
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.
ADDITIONAL INFORMATION: We're people building money without borders , without judgement or prejudice, too. We believe teams are strongest when they are diverse, equitable and inclusive.