Wise
Financial Services
ComplianceLead/CCOUSAssets
“Compliance Lead/ CCO US Assets at Wise. Skills: Broker-dealer compliance, Regulatory engagement, Compliance framework, Second line oversight. Serve as Chief Compliance Officer. Lead compliance framework design”
What You'll Achieve.
Enable compliant product launch; Enable compliant product growth
Industry & Context.
Solutions-oriented; Structure to ambiguity
What They're Looking For.
Must Have
12+ years relevant experience, Working knowledge FINRA SEC rules, Active FINRA Series 7, Active FINRA Series 24, Active FINRA Series 63, Experience leading regulatory engagement, Experience building broker-dealer compliance program, Understanding second line compliance oversight, Translate regulatory obligations, Experience advising product launches, Stakeholder management skills, Manage multiple priorities, Lead complex workstreams, Deliver outcomes in ambiguity, Demonstrated ability mentor others, Contribute build-out compliance model
Nice to Have
Canadian investment regulatory requirements a plus, Assets-related regulatory requirements a plus
What You'll Do.
Serve as Chief Compliance Officer
Lead compliance framework design
Implement compliance framework
Oversee compliance framework
Own broker-dealer compliance program
Provide 2LoD oversight
Lead regulatory engagement
Oversee state registration
Manage licensing program
Provide compliance advice
Provide compliance challenge
Build compliance readiness
Oversee compliance readiness
Lead compliance reporting
Develop monitoring processes
Oversee testing processes
Develop issue management processes
Oversee escalation processes
Build sustainable compliance coverage
Shape operating model
How You'll Work.
Team & Collaboration
Partnering closely Legal; Partnering closely Product; Partnering closely Engineering; Partnering closely Banking; Partnering closely Operations; Partnering closely Customer Support; Partnering closely Financial Crime; Partnering closely senior leadership; Work with senior leadership; Work with regulators; Work with external counsel; Work with consultants; Work with cross-functional teams
Communication Scope
Regulatory communications; Senior leadership reporting
Process & Methodology
Lead complex workstreams, Manage multiple priorities
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