Compliance Lead/CCO US Assets

Responsibilities

• Serve as the Chief Compliance Officer (CCO) for the U.S. broker-dealer entity, holding ultimate responsibility for its regulatory compliance framework.
• Lead the design, implementation, and ongoing oversight of compliance frameworks, policies, and procedures for FINRA-regulated entities.
• Provide senior second-line oversight of the U.S. broker-dealer compliance program, including supervisory controls, WSPs, and books and records.
• Lead regulatory engagement with FINRA, the SEC, and state regulators, including managing examinations, inquiries, and filings.
• Oversee the state registration and licensing program for Wise US Assets Inc.
• Provide senior compliance advice and challenge to Product, Engineering, Legal, and Operations teams to support compliant product design and scaling.
• Develop and oversee monitoring, testing, and issue management processes for the compliance control framework.

Requirements

• 12+ years of relevant experience in broker-dealer regulatory compliance or investment compliance.
• Strong working knowledge of FINRA and SEC rules and broker-dealer supervisory expectations.
• Active FINRA Series 7, 24, and 63 registrations are required.
• Demonstrated experience leading regulatory engagement, including examinations, licensing, or remediation activity.
• Proven experience building, operating, or materially enhancing a broker-dealer compliance program.
• Strong ability to translate complex regulatory obligations into practical requirements for cross-functional teams.

Preferred Qualifications

• Experience with Canadian investment or Assets-related regulatory requirements.

About the Company

Wise is a global technology company on a mission to make money without borders. We are building the best way to move and manage the world’s money, ensuring it is fair, easy, and fast for everyone, everywhere.