Compliance Lead/ CCO US Assets

About the role

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 (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.

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.