Compliance Lead - Assets

Wise•New York, NY

4d•$193,000 - $277,000

About The Position

Wise is scaling its Assets offering across North America and is seeking a Lead Compliance Manager to provide senior compliance leadership and oversight for Wise’s North America Assets entities, including Wise US Assets Inc. and Wise Assets Canada Inc. This is a critical L7 role responsible for leading the development, implementation, and ongoing oversight of the broker-dealer compliance program for Wise US Assets Inc., while also supporting broader Assets regulatory and operational readiness across North America. The role will provide strong second line compliance challenge, regulatory engagement, governance, and cross-functional advisory support as Wise builds and scales its Assets product. The successful candidate will operate with a high degree of independence, partnering closely with Legal, Product, Engineering, Banking, Operations, Customer Support, Financial Crime, and senior leadership to embed regulatory requirements into product design, systems, controls, and operating processes.

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.
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.

Nice To Haves

Experience with Canadian investment or Assets-related regulatory requirements is a plus, but not required.

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.
Lead the design, implementation, and ongoing oversight of the compliance framework, policies, procedures, and governance for Wise’s FINRA-regulated broker-dealer US Assets Inc. 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, prioritisation, 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.