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Michael Wise Email & Phone Number
Executive Director, Swap Dealer and SBSD Compliance
at
UBS
1 work email found
@tdsecurities.com
3 phones found area 212 and 511
LinkedIn matched
✓ Verified May 2026
4 data sources
Profile completeness 100%
Current company
Role
Executive Director, Swap Dealer and SBSD Compliance
Location
New York, New York, United States
Who is Michael Wise? Overview
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Quick answer
Michael Wise is listed as Executive Director, Swap Dealer and SBSD Compliance at UBS, based in New York, New York, United States. AeroLeads shows a work email signal at tdsecurities.com, phone signal with area code 212, 511, and a matched LinkedIn profile for Michael Wise.
Michael Wise previously worked as Director, Head of Regulatory Operations & Bank Regulatory Compliance at Td Securities and Director, Head of Regulatory Operations, Swap Dealer, and Volcker Compliance at Td Securities. Michael Wise holds Juris Doctor, Law from William & Mary Law School.
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Email format at UBS
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{first}.{last}@tdsecurities.com
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AeroLeads found 1 current-domain work email signal for Michael Wise. Compare company email patterns before reaching out.
Profile bio
About Michael Wise
Highly experienced compliance professional with strong background in regulatory oversight, swap dealer compliance, and advisory services. Expertise in derivatives markets, regulatory reporting, and compliance program management, with proven ability to develop and implement policies to ensure alignment with evolving industry regulations. Build relationships across front, middle, and back offices while collaborating with operations and technology teams to optimize compliance systems. Provide clear, actionable guidance on complex regulatory matters and lead cross-functional teams to ensure operational excellence in compliance.
Listed skills include Securities, Sef, Dodd Frank, Swaps, and 59 others.
Current workplace
Michael Wise's current company
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10 roles
Michael Wise work experience
A career timeline built from the work history available for this profile.
Director, Head Of Regulatory Operations & Bank Regulatory Compliance
CurrentLead team of three direct reports to develop and implement enhanced compliance coverage for TD Securities Global Markets Operations, focusing on Bank Regulatory, Cybersecurity, Data Privacy, and Third-Party Compliance. Oversee TD’s enterprise Volcker and Qualified Financial Contracts (QFC) Compliance Programs. Conduct risk assessments, regulatory advisory.
Mar 2024 - Present
Director, Head Of Regulatory Operations, Swap Dealer, And Volcker Compliance
Led compliance advisory team of six direct reports providing strategic guidance and challenge to Front Office, Governance and Control, Operations, Risk, and Technology teams, including development and management of Security-Based Swap Dealer (SBSD) and Volcker Compliance Programs. Delivered compliance risk assessments, interfaced with regulators, and.
Jul 2020 - Mar 2024
Senior Vice President
Managed a team of three matrix reports to analyze and implement global regulatory reporting requirements, spearheading the development and execution of a regulatory change management program for the firm’s Non-Financial Regulatory Reporting (NFRR) center. Provided strategic guidance to leadership, report preparers, and the Engineering, Operations, and Risk.
May 2019 - Jul 2020
Senior Director, Head Of Employee & Commercial Compliance
Managed a five-person cross-border team responsible for the development and implementation of Conflicts of Interest, Anti-Money Laundering and Sanctions, and Vendor Risk Management programs.
Nov 2018 - Mar 2019
Sdr Chief Compliance Officer
CCO of BSDR LLC, Bloomberg's CFTC-registered Swap Data Repository.Developed and implemented BSDR’s swap data repository compliance program and led regulatory interactions with the CFTC. Participated in board meetings to address regulatory developments, compliance issues, audit results, and cybersecurity. Provided guidance on conflicts of interest, code of.
Sep 2012 - Sep 2018
Exempt Clearing Senior Compliance Officer
Senior Compliance Officer of Bloomberg STP LLC, Bloomberg's SEC-registered exempt clearing agency.Led program to meet Regulation SCI and NIST 800-53 standards. Drafted and implemented policies for information security, vulnerability scanning, penetration testing, and vendor management. Managed Regulation SCI recordkeeping policy and coordinated business.
Aug 2012 - Sep 2018
Fit Senior Compliance Officer
Senior Compliance Officer for Bloomberg, L.P.Oversaw compliance for Global Markets Electronic Trading and Order Routing Products across various asset classes, as well as Bloomberg TOMS solution, including TRACE reporting. Served as Interim CCO for Bloomberg’s registered investment advisor subsidiary, managing trade pre-clearance, Form ADV, and compliance.
Nov 2010 - Sep 2018
Corporate Counsel
Responsible for multiple legal and compliance matters for this registered investment advisor, including drafting and negotiating contracts, the implementation and maintenance of the firm's compliance program, daily supervision of compliance staff, and providing counsel to all employees on legal, regulatory, policy, best execution, procedural, and.
Jun 2007 - Oct 2010
Chief Compliance Officer, Associate General Counsel
Foresight Research Solutions, Llc
Managed all legal and compliance matters for the broker-dealer, including the negotiation of multiple introducing broker and third-party marketing agreements, and the drafting and implementation of the firm's compliance program. Series 7, Series 24, and Series 87 license holder while at Foresight.
Aug 2004 - Jan 2007
2 education records
Michael Wise education
Juris Doctor, Law
William & Mary Law School
Bs, Finance
Penn State University
FAQ
Frequently asked questions about Michael Wise
Quick answers generated from the profile data available on this page.
What company does Michael Wise work for?
Michael Wise works for UBS.
What is Michael Wise's role at UBS?
Michael Wise is listed as Executive Director, Swap Dealer and SBSD Compliance at UBS.
What is Michael Wise's email address?
AeroLeads has found 1 work email signal at @tdsecurities.com for Michael Wise at UBS.
What is Michael Wise's phone number?
AeroLeads has found 3 phone signal(s) with area code 212, 511 for Michael Wise at UBS.
Where is Michael Wise based?
Michael Wise is based in New York, New York, United States while working with UBS.
What companies has Michael Wise worked for?
Michael Wise has worked for Ubs, Td Securities, Bank Of America, Fitch Ratings, and Bloomberg Lp.
How can I contact Michael Wise?
You can use AeroLeads to view verified contact signals for Michael Wise at UBS, including work email, phone, and LinkedIn data when available.
What schools did Michael Wise attend?
Michael Wise holds Juris Doctor, Law from William & Mary Law School.
What skills is Michael Wise known for?
Michael Wise is listed with skills including Securities, Sef, Dodd Frank, Swaps, Corporate Law, Securities Regulation, Hedge Funds, and Legal Writing.
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