CCO Canada Assets

Wise PLC•Austin, TX

72d

About The Position

Since 2011, we've had a clear mission: money without borders. Built by and for people who live global lives, we're the fairest, easiest way to manage your money across borders. We're just at the beginning of our story and we're growing at an incredible pace. We won't stop until anyone, anywhere can send, spend and receive money wherever they are, whatever they're doing. There's still heaps to do and we can't do it alone. Now is an exciting time to join us at Wise, and we are looking for a Head of Compliance, Anti-Money Laundering Officer (CAMLO), and Supervisor to lead the building and development of our investment dealer compliance program. As the Head of Compliance for the investment entity, you'll be responsible for overseeing our Canadian financial crime and regulatory compliance programs for our investment dealer license. You will own the relationship with our regulators, manage the member application process, and act as the key compliance advisor to the business, ensuring we meet our obligations while supporting strategic growth.

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.

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