Compliance Lead/ CCO US Assets

Google Chrome Microsoft Edge Apple Safari Mozilla Firefox Compliance Lead/ CCO US AssetsFull-time Compensation: USD 193000 - USD 277000 - yearlyCompany DescriptionWise is a global technology company, building the best way to move and manage the world’s money. Min fees. Max ease. Full speed.Whether people and businesses are sending money to another country, spending abroad, or making and receiving international payments, Wise is on a mission to make their lives easier and save them money.As part of our team, you will be helping us create an entirely new network for the world's money. For everyone, everywhere.More about our mission and what we offer.Job DescriptionSince 2011, we’ve had a clear mission: money without borders. Built by and for people who live global lives, we’re 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 Wise’s 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 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 responsibilitiesIn 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 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.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...