Compliance Lead/ CCO US Assets

Key Responsibilities

• 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.
• 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.
• You have 12+ years of relevant experience in broker-dealer regulatory compliance, investment compliance, or equivalent regulated financial services compliance.
• You have a strong working knowledge of FINRA and SEC rules, broker-dealer supervisory expectations, and regulatory examination standards.
• You have active FINRA Series 7, 24, and 63 registrations required.
• You have demonstrated experience leading regulatory engagement, including examinations, inquiries, licensing, registrations, approvals, or remediation activity.
• You have experience building, operating, or materially enhancing a broker-dealer compliance program.
• You have a strong understanding of second line compliance oversight, including independent challenge, escalation, governance, monitoring, testing, and issue management.
• You have the ability to translate complex regulatory obligations into practical, risk-based requirements for Product, Engineering, Operations, Customer Support, and other cross-functional teams.
• You have strong stakeholder management skills, including the ability to work effectively with senior leadership, regulators, external counsel, consultants, and cross-functional teams.
• You have the ability to manage multiple priorities, lead complex workstreams, and deliver outcomes in ambiguity.
• You have demonstrated ability to mentor others and contribute to the build-out of a sustainable compliance operating model.
• You have experience with Canadian investment or Assets-related regulatory requirements is a plus, but not required.