Wise

1 month ago

Compliance Lead/ CCO US Assets

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 2 hours agoStatus: Live

Job Summary

Lead the broker-dealer compliance program for Wise US Assets and North America, serving as Chief Compliance Officer for the US entity. Build and scale an institutional-grade compliance framework, drive regulator engagements (FINRA/SEC), licensing, and governance, and partner with Product, Engineering, Legal, Operations and Support to embed compliant product design and growth.

Location: New York

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

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.

Pay and Benefits

Salary: USD 193,000 - 277,000 annually

Key Requirements

•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.

Experience:12+ yearsBroker-dealerRegulatory complianceFinancial services

Skills:Stakeholder managementLeadershipCommunicationRegulatory interpretationProblem-solving

Certifications:FINRA Series 7FINRA Series 24FINRA Series 63

Languages:English

Company Brief

Wise

Wise (formerly TransferWise) is a London-based fintech that provides low-cost international money transfers, multi-currency accounts and payment infrastructure for individuals and businesses worldwide.

Industry: Payments

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: London, United Kingdom

Founded: 2011

Glassdoor: 3.8

Website LinkedIn Glassdoor

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Wise

1 month ago

Compliance Lead/ CCO US Assets

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 2 hours agoStatus: Live

Job Summary

Location: New York

Workplace: Hybrid

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

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.

Pay and Benefits

Salary: USD 193,000 - 277,000 annually

Key Requirements

•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.

Experience:12+ yearsBroker-dealerRegulatory complianceFinancial services

Skills:Stakeholder managementLeadershipCommunicationRegulatory interpretationProblem-solving

Certifications:FINRA Series 7FINRA Series 24FINRA Series 63

Languages:English

Company Brief

Wise

Industry: Payments

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: London, United Kingdom

Founded: 2011

Glassdoor: 3.8

Website LinkedIn Glassdoor