Complaints Officer - Series 7 License Required
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
We’re looking for a dedicated, detail oriented, and FINRA Series 7 Licensed Complaints Officer to join our dynamic team.
As a Complaints Officer, you’ll investigate customer complaints, including those related to U.S. investment products and asset management, ensure timely and fair resolutions, and maintain a strong understanding of our regulatory obligations across multiple jurisdictions. You’ll be required to hold an active Series 7 license and demonstrate a working knowledge of FINRA, SEC, and internal supervisory controls. This is your chance to make a tangible impact on customer satisfaction and help shape Wise’s internal processes for the better.
Key Responsibilities
- Investigate customer complaints related to US securities and investment products under FINRA/SEC jurisdiction.
- Reference relevant regulatory frameworks (e.g., Reg BI, FINRA Rules, SEC disclosures) to assess and resolve investment-related concerns.
- Review complaint case files and supporting documentation assigned by the Complaints Triage team.
- Apply complaint handling procedures consistently across jurisdictions, following established internal policies.
- Draft clear, well-documented, and regulatory-compliant final responses.
- Accurately interpret and apply relevant terms of use and customer agreements.
- Utilize internal tools (e.g., Zendesk, Ninjas, Watson, Twilio, Slack) to manage case workflows.
- Maintain accurate records, case notes, and audit trails in line with compliance requirements.
- Participate in mandatory and self-paced training to stay current with FINRA and Wise complaint handling expectations.
- Flag unusual cases, repeat complaint patterns, or high-risk issues through internal escalation processes as required.
- Provide guidance to the Customer Support team on complex cases.
- Offer proactive feedback and suggestions to improve processes and customer experiences.
Qualifications
- Series 7 License is required for this position.
- Excellent written and verbal communication in English.
- Proven experience in Complaints with a strong background in Fintech/Banking.
- Knowledge in AML, CTF guidelines, and procedures. Experience in areas like AML, Fraud, Chargebacks, Partner RFI, Sanctions, or Quality Assurance is preferred.
- Proficiency with Google Workspace, Office Suite, and platforms like Confluence.
- Strong organizational skills and a sharp eye for detail.
- Ability to work independently, prioritize tasks, and make informed decisions.
- Effective interpersonal skills and a clear communication style.
- Reliable, adaptable, and committed to achieving team goals.
Additional Information
If you’re ready to take on a challenging and rewarding role, apply now and become part of our global team at Wise!
Eligibility Requirements:
- Resumes should be submitted in English, in other languages will be rejected.
- Salary: 62000 USD (Yearly)
- This is a hybrid position located in Austin, USA, and not fully remote. You must be able to commute to the office or open to self relocation. We don't offer relocation package for this position.
- You’re eligible to work in the US, we cannot sponsor Visas for this role.
- Click here to see the benefits we offer!
Interview Process:
- Application Review
- Test Assignment
- Recruiter Screening
- Final interview
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.
Keep up to date with life at Wise by following us on LinkedIn and Instagram.
Average salary estimate
If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.
Security Specialist II to help manage and maintain compliance of classified information and facility security programs, supporting contract requirements in a hybrid work environment.
Lead regulatory risk management and reporting initiatives as Director within American Express's Regulatory Exam Lifecycle Management team.
Lead the Technology Risk and Control team at American Express to strengthen operational risk management and regulatory adherence within a hybrid working environment.
Bush & Bush Law Group is looking for a detail-oriented English/Spanish Litigation Assistant to support litigation processes in a dynamic legal environment.
A meticulous Analyst role at American Express focused on AML investigations to detect and report suspicious financial activities in a hybrid working environment.
Experienced Regional Security Manager needed to oversee physical security, crisis management, and compliance for BlackRock’s Americas West region.
Lead regulatory risk management initiatives at American Express as the Director of Regulatory Risk Management within the Global Risk and Compliance team.
Lead the enterprise-wide Compliance Risk Assessment program at American Express, driving governance and strategic oversight within a dynamic risk management environment.
Drive technology risk and compliance efforts at Capital One as a Manager in Tech & Cyber Risk within Retail Bank Tech.
Lead AZ Blue’s Fraud, Waste & Abuse program as Director, driving investigations and compliance to safeguard healthcare resources and uphold regulatory standards.
Visa is seeking a Senior Analyst to expertly manage and negotiate complex client contracts within a collaborative, remote role focused on the payments industry.
Lead operational risk remediation and issue management at American Express as a Senior Manager, collaborating across functions to drive control effectiveness and accountability.
Lead and enhance American Express’s enterprise-wide Compliance Risk Assessment program to manage compliance risks and meet regulatory standards.
Money without borders — instant, convenient, transparent and eventually free.
4 jobs
🔮
Hi, I'm Risa! Your AI Career Copilot
you, just ask me below!
