Compliance Senior Manager

Wise • Austin, TX

4d

About The Position

Wise is a global technology company, building the best way to move and manage the world’s money. Min fees. Max ease. Full speed. Whether people and businesses are sending money to another country, spending abroad, or making and receiving international payments, Wise is on a mission to make their lives easier and save them money. As part of our team, you will be helping us create an entirely new network for the world's money. For everyone, everywhere. More about our mission and what we offer .

Requirements

• You have 5+ years of experience in a senior compliance leadership role at a CIRO-regulated Investment Dealer.
• You possess expert-level knowledge of CIRO Investment Dealer rules, National Instruments, and Canada’s anti-money laundering legislation (PCMLTFA).
• You are a strong communicator and leader, capable of engaging confidently with regulators, senior management, and all members of the firm.
• You have a hands-on, proactive approach to problem-solving and are comfortable operating in both strategic and tactical capacities.
• You hold the required PDO and CCO industry qualifications for registration as a CCO and Supervisor

Nice To Haves

• IDSC (or an equivalent supervisor's course). Obtain within 2-3 months.

Responsibilities

• Own the regulatory relationships. You will be the primary contact for CIRO, provincial securities commissions, and FINTRAC, managing member application process, subsequent examinations, inquiries, and communications.
• Lead the compliance framework. You will develop, manage, and evolve the firm’s compliance and AML/CTF policies to ensure adherence to all CIRO rules and Canadian regulations.
• Advise Product, Engineering, and relevant 1LoD teams regarding compliant business practices
• Deliver annual compliance meetings
• Directly supervise all investment dealer activities and ensure adherence to market conduct rules.
• Be the subject matter expert. You will provide clear, pragmatic, and actionable guidance to business leadership and staff on all compliance-related matters.
• Manage all compliance reporting. You will oversee the preparation and submission of all required regulatory reports and filings in a timely and accurate manner.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed