Michael Wise Email and Phone Number
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Michael Wise personal email
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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.
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Executive Director, Swap Dealer And Sbsd ComplianceUbsNew York, Ny, Us
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Director, Head Of Regulatory Operations & Bank Regulatory ComplianceTd Securities Mar 2024 - PresentToronto, Ontario, CaLead 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 for New York Branch, and compliance oversight for SEC and CFTC regulatory change initiatives. -
Director, Head Of Regulatory Operations, Swap Dealer, And Volcker ComplianceTd Securities Jul 2020 - Mar 2024Toronto, Ontario, CaLed 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 oversaw creation of board-level presentations and annual CCO reports. Recruited, mentored, and developed junior staff, ensuring high standard of compliance across all functions.
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Senior Vice PresidentBank Of America May 2019 - Jul 2020Charlotte, Nc, UsManaged 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 teams on global NFRR regulations, ensuring regulatory compliance. -
Senior Director, Head Of Employee & Commercial ComplianceFitch Ratings Nov 2018 - Mar 2019New York, New York, UsManaged 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. -
Sdr Chief Compliance OfficerBloomberg Lp Sep 2012 - Sep 2018New York, Ny, UsCCO 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 ethics, and regulatory policies. Managed annual compliance reviews and independent audits, delivering CCO certification reports. -
Exempt Clearing Senior Compliance OfficerBloomberg Lp Aug 2012 - Sep 2018New York, Ny, UsSenior 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 continuity and disaster recovery (BC/DR) testing with market participants. Conducted assessments of SCI systems and filed SEC material change reports to ensure compliance.
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Fit Senior Compliance OfficerBloomberg Lp Nov 2010 - Sep 2018New York, Ny, UsSenior 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 manuals. Led GDPR implementation task force and advised on regulatory matters related to Advisers Act of 1940. Provided compliance oversight for incident response, business continuity, and investigations.
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Corporate CounselShenkman Capital Management, Inc Jun 2007 - Oct 2010New York, Ny, UsResponsible 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 compliance guideline requirements. -
Chief Compliance Officer, Associate General CounselForesight Research Solutions, Llc Aug 2004 - Jan 2007Managed 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.
Michael Wise Skills
Michael Wise Education Details
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William & Mary Law SchoolLaw -
Penn State UniversityFinance
Frequently Asked Questions about Michael Wise
What company does Michael Wise work for?
Michael Wise works for Ubs
What is Michael Wise's role at the current company?
Michael Wise's current role is Executive Director, Swap Dealer and SBSD Compliance.
What is Michael Wise's email address?
Michael Wise's email address is mw****@****erg.net
What is Michael Wise's direct phone number?
Michael Wise's direct phone number is +121261*****
What schools did Michael Wise attend?
Michael Wise attended William & Mary Law School, Penn State University.
What are some of Michael Wise's interests?
Michael Wise has interest in Sailing, Camping, Bicycling.
What skills is Michael Wise known for?
Michael Wise has skills like Securities, Sef, Dodd Frank, Swaps, Corporate Law, Securities Regulation, Hedge Funds, Legal Writing, Alternative Investments, Aml, Mutual Funds, Litigation.
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