Compliance Senior Manager

Wise • New York, NY

3d

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 Senior Compliance Manager to support the CCO in the building and development of our broker dealer compliance program. As the Senior Compliance Manager for the investment entity, you’ll be responsible for assisting the oversight of the US financial crime and regulatory compliance programs for our broker/dealer licence. Your mission: Support the development and implementation of the compliance framework and policies, demonstrating adherence to all relevant local laws and regulations for a licensed US Broker Dealer entity. Assist in building and executing a monitoring and testing program for the compliance control framework, and support training initiatives for teams in charge of applying those compliance controls. Contribute to the preparation of quarterly compliance reports for senior leadership teams and relevant Regional and Group Compliance Risk Committees. Support the management of regulatory examinations and assist in responding to regulatory inquiries. Maintain current knowledge regarding regulatory issues, rule proposals, guidance, etc. Support the CCO in advising Product, Engineering, and relevant 1LoD teams regarding compliant business practices. Assist in the delivery of annual compliance meetings. Support and participate in OSJ and branch office inspections. Contribute to monthly and ad-hoc reporting, including monthly metric/status reports, and assist in escalating any breaches to internal and/or external parties.

Requirements

• 8+ years relevant experience in BD regulatory compliance, preferably in a supporting or managerial capacity.
• Detailed knowledge of FINRA and SEC rules and BD compliance.
• Series 7, 24, and 63 registrations required.
• Ability to work effectively, multi-task, manage projects and time, often in support of broader initiatives.
• Experience of supporting engagement with regulators or similar bodies.
• Experience in supporting the alignment across the risk taxonomy, including operational, compliance and strategic risk as well as intersecting risks.
• Ability to professionally represent the US Broker Dealer entity to all internal (e.g. management) and external (e.g. regulatory authorities) stakeholders.
• Demonstrated commitment to maintaining second line of defense independence and appropriately escalating concerns.

Nice To Haves

• If you have a compliance background in investments or other regulated financial services, great communication and organizational skills, tons of motivation and positivity, then this role could be perfect for you!

Responsibilities

• Support the development and implementation of the compliance framework and policies, demonstrating adherence to all relevant local laws and regulations for a licensed US Broker Dealer entity.
• Assist in building and executing a monitoring and testing program for the compliance control framework, and support training initiatives for teams in charge of applying those compliance controls.
• Contribute to the preparation of quarterly compliance reports for senior leadership teams and relevant Regional and Group Compliance Risk Committees.
• Support the management of regulatory examinations and assist in responding to regulatory inquiries.
• Maintain current knowledge regarding regulatory issues, rule proposals, guidance, etc.
• Support the CCO in advising Product, Engineering, and relevant 1LoD teams regarding compliant business practices.
• Assist in the delivery of annual compliance meetings.
• Support and participate in OSJ and branch office inspections.
• Contribute to monthly and ad-hoc reporting, including monthly metric/status reports, and assist in escalating any breaches to internal and/or external parties.

What This Job Offers

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