Compliance Lead - Assets

Wise; New York (NY); On-site; USD 160,000 - 210,000; Full time

Job summary

Wise is scaling its Assets offering across North America and seeks a Lead Compliance Manager to provide senior compliance leadership for Wise US Assets Inc. and Wise Assets Canada Inc.

The role leads broker-dealer compliance, regulatory engagement, and governance across North America, partnering with Legal, Product, Engineering, Banking, Operations, and Financial Crime teams. You will own 2LoD oversight, licensing, and supervisory controls, while embedding regulatory requirements into product

Qualifications

• Deep broker-dealer regulatory knowledge and strong judgment.
• Ability to operate independently in a fast-moving, product-led environment.
• Experience building compliance frameworks from the ground up and engaging regulators.

Responsibilities

• Serve as Chief Compliance Officer for the U.S. broker-dealer and oversee regulatory framework.
• Lead design and governance for FINRA-regulated broker-dealer and NA Assets.
• Provide 2LoD oversight of the U.S. broker-dealer program including controls and records.
• Lead regulatory engagement with FINRA, the SEC, and state regulators.
• Oversee state registrations and licensing for Wise US Assets Inc.
• Mentor team members and shape the North America operating model.

Skills

Broker-dealer regulatory knowledge

Regulatory engagement

Leadership

Cross-functional collaboration

Product-led environment

Job description

Company Description

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.

Job Description

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 money across borders.

Wise is scaling its Assets offering across North America, and we are looking for 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.
Your mission:

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.

Key responsibilities

• In this role, you will serve as the Chief Compliance Officer (CCO) for the U.S. broker-dealer entity, holding ultimate responsibility for its regulatory compliance framework and standing with oversight bodies.

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

A bit about you:

You are an experienced compliance leader with deep broker-dealer regulatory knowledge, strong judgment, and the ability to operate independently in a fast-moving, product-led environment.

You can move between detailed regulatory requirements and senior-level strategic decision-making. You are comfortable building compliance frameworks from the ground up, engaging directly with regulators, challenging senior stakeholders, and enabling compliant growth without compromising second line independence.

You are practical, solutions-oriented, highly organized, and able to bring structure to ambiguity.

Additional Information

For everyone, everywhere. We're people building money without borders — without judgement or prejudice, too. We believe teams are strongest when they are diverse, equitable and inclusive.

We're proud to have a truly international team, and we celebrate our differences.
Inclusive teams help us live our values and make sure every Wiser feels respected, empowered to contribute towards our mission and able to progress in their careers.

If you want to find out more about what it's like to work at Wise visit Wise.Jobs.

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