Compliance Lead/ CCO US Assets
Core
Lead compliance oversight and regulatory engagement for Wise's North America Assets entities, specifically serving as the Chief Compliance Officer for the US broker-dealer and supporting the Canadian investment dealer launch.
Role type
Senior IC Chief Compliance Officer (Broker-Dealer)
Builds
Institutional-grade compliance frameworks, regulatory reporting, and operational controls for US and Canadian Assets products.
Domain
Financial Services / Broker-Dealer / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Broker-dealer regulatory compliance, FINRA/SEC rules, regulatory examination management, AML program oversight, state registration/licensing, supervisory controls, risk-based requirement translation, stakeholder management, team mentoring
Preferred skills
Canadian investment regulatory knowledge, product launch experience
Technologies
FINRA, SEC, AML systems
Responsibilities
Lead design and oversight of the broker-dealer compliance framework and governance; Serve as designated AML Officer; Engage with regulators (FINRA, SEC, state) on examinations and filings; Manage state registration and licensing programs; Provide senior compliance challenge to Product, Engineering, and Operations; Oversee compliance readiness for customer support, complaints, and marketing; Lead compliance reporting to senior leadership; Develop monitoring and testing processes for the compliance control framework.
Seniority
Senior, hands-on IC with strategic oversight