CCO Canada Assets at Wise

Austin, Texas, United States

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Not SpecifiedCompensation

Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

FinTech, Financial ServicesIndustries

Requirements

5+ years of experience in a senior compliance leadership role at a CIRO-regulated Investment Dealer
Expert-level knowledge of CIRO Investment Dealer rules, National Instruments, and Canada’s anti-money laundering legislation (PCMLTFA)
Strong communicator and leader, capable of engaging confidently with regulators, senior management, and all members of the firm
Hands-on, proactive approach to problem-solving and comfortable operating in both strategic and tactical capacities
Hold the required PDO and CCO industry qualifications for registration as a CCO and Supervisor
Nice to have: IDSC (or an equivalent supervisor's course); obtain within 2-3 months
Requires travel up to 20% of the time

Responsibilities

Own the regulatory relationships: primary contact for CIRO, provincial securities commissions, and FINTRAC; manage member application process, subsequent examinations, inquiries, and communications
Lead the compliance framework: develop, manage, and evolve the firm’s compliance and AML/CTF policies to ensure adherence to all CIRO rules and Canadian regulations
Advise Product, Engineering, and relevant 1LoD teams regarding compliant business practices
Deliver annual compliance meetings
Directly supervise all investment dealer activities and ensure adherence to market conduct rules
Be the subject matter expert: provide clear, pragmatic, and actionable guidance to business leadership and staff on all compliance-related matters
Manage all compliance reporting: oversee the preparation and submission of all required regulatory reports and filings in a timely and accurate manner

Skills

Key technologies and capabilities for this role

AML/CTFRegulatory ComplianceCIROFINTRACInvestment Dealer ComplianceCompliance FrameworkRegulatory RelationshipsSecurities Commissions

Questions & Answers

Common questions about this position

Is this role remote or on-site?

This is an on-site position.

What experience is required for this role?

You need 5+ years of experience in a senior compliance leadership role at a CIRO-regulated Investment Dealer.

What key skills and knowledge are needed for the CCO Canada Assets position?

Expert-level knowledge of CIRO Investment Dealer rules, National Instruments, and Canada’s anti-money laundering legislation (PCMLTFA) is required, along with strong communication and leadership skills.

What is the salary or compensation for this position?

This information is not specified in the job description.

What makes a strong candidate for this Head of Compliance role?

A strong candidate has 5+ years in senior compliance at a CIRO-regulated Investment Dealer, expert knowledge of CIRO rules, National Instruments, and PCMLTFA, and is a strong communicator and leader able to engage regulators and management.

Wise

Facilitates low-cost international money transfers

About Wise

Wise focuses on international money transfers, providing a low-cost alternative to traditional banks. It uses a peer-to-peer system to match transfers between users in different countries, which helps reduce fees and offers better exchange rates. Customers pay a small, transparent fee for each transaction, and Wise also offers a multi-currency account for managing funds in various currencies. The company aims to maintain high performance and reliability while ensuring transparency and trust with its users.

London, United KingdomHeadquarters

2011Year Founded

$385.5MTotal Funding

IPOCompany Stage

Fintech, Financial ServicesIndustries

5,001-10,000Employees

Benefits

PTO & annual leave

Work from home flexibility

Parental leave

Medical insurance plans

Health & wellbeing discounts

Pension & retirement plans

Social events

Relocation support

Risks

Increased competition from banks integrating Swift services could challenge Wise's market share.

Regulatory scrutiny following Stenn's collapse may increase pressure on Wise.

Bitcoin's low transaction fees could attract customers away from Wise's services.

Differentiation

Wise offers a peer-to-peer system for low-cost international money transfers.

The company provides a multi-currency account for ex-pats, freelancers, and travelers.

Wise's transparent fee structure attracts customers seeking cost-effective money transfer solutions.

Upsides

Partnership with Morgan Stanley enhances Wise's cross-border settlement capabilities.

Expansion into India's remittance market presents significant growth opportunities for Wise.

API integrations offer additional revenue streams and market penetration for Wise.

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