Key responsibilities:

• 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.

  Are you interested in this position?

  Apply by clicking on the “Apply Now” Button below!
  #JobsHubEstonia #GlobalRecrument
  #CareerOpportunities #HiringNow
  #JobSeekersNetwork #EstoniaJobs
  #RecruitmentServices #EmploymentPortal