Wise · 18 hours ago
Compliance Senior Manager
New York, United States
Full-time
Onsite
Senior Level, Lead/Staff
8+ years expWise is a global technology company focused on making international money transfers easier and more affordable. They are seeking a Senior Compliance Manager to support the Chief Compliance Officer in developing and overseeing the compliance program for their broker dealer entity, ensuring adherence to US financial crime and regulatory compliance requirements.
Financial Services
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
Qualification
Required
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
Company
Wise
Wise is a global technology company, building the best way to move money around the world.
Founded in 2011London, GB
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Harsh Sinha
Chief Technology Officer
Ben Johnson
North America Lead, Partner Management - Wise Platform
Recent News
2025-10-02
2025-10-02
2025-10-01
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