Northam Investment Lead

Wise • Austin, TX

7d

About The Position

Wise is building the world’s best international account experience. Our bank, payment partner, and regulatory relationships determine the quality and breadth of our product. We are on the hunt for a strategic leader and executor to lead our Investment Expansion and Broker-Dealer operations in North America. We have reached a pivotal milestone: our US Broker-Dealer is about to go live. While our initial offering focuses on Mutual Funds, our roadmap is aggressive. You will lead the charge in diversifying our offering to include other asset classes, while simultaneously spearheading our entry into the Canadian market. This is not just an expansion role; it is a leadership position that requires active management of our regulated entities and a seat at the table in defining the future of how Wise customers grow their wealth.

Requirements

• Experience: 8-12+ years of experience in investment management, capital markets, fintech, or a similar role within a regulated financial institution.
• Licensing: You must hold, or be able to obtain within 6 months, the Series 7 (General Securities Representative) and Series 24 (General Securities Principal) licenses.
• Regulatory Knowledge: Deep understanding of the US regulatory landscape (FINRA/SEC) and experience (or a strong desire to learn) the Canadian regulatory environment.
• Technical & Product Mindset: You understand the "plumbing" of investments—how clearing, settlement, and custody work—and can translate complex requirements into product features.
• Project Leadership: Proven ability to lead high-stakes, cross-functional projects from inception to "Go-Live."
• Mission-Driven: You are passionate about Wise’s mission to make finance fairer and more accessible globally.
• Travel: Flexibility for international travel (approximately 10-20% of the time).

Nice To Haves

• Direct experience launching a retail trading app or investment platform.
• Existing experience with Canadian financial regulators or industry bodies.
• Experience in a high-growth fintech environment.

Responsibilities

• Active Broker-Dealer Leadership: Serve as a key principal for our US Broker-Dealer. You will be responsible for the day-to-day oversight of regulated activities, ensuring operational excellence and compliance with FINRA and SEC standards.
• Product Diversification: Transition our investment platform from a mutual-fund-only offering to a multi-asset platform including ETFs, individual stocks, and innovative savings products.
• Canada Market Entry: Own the end-to-end process of securing Wise’s investment licenses in Canada (CIRO). You will manage the regulatory applications, build local partner relationships, and define the Canadian product roadmap.
• Strategic Partnerships: Lead negotiations and manage relationships with clearing firms, custodians, and market data providers to support our expanding product suite.
• Cross-Functional Execution: Partner closely with Product, Engineering, and Compliance teams to build the infrastructure required for real-time trading, fractional shares, and automated investment tools.
• Regulatory Liaison: Act as a primary point of contact for US and Canadian regulators, overseeing exams, filings, and responding to regulatory inquiries.

What This Job Offers

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