Complaints Officer - Series 7 License Required
Complaints Officer - Series 7 License Required
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Job Description
Were looking for a dedicated detail oriented and FINRA Series 7 Licensed Complaints Officer to join our dynamic team.
As a Complaints Officer youll 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. Youll 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 Wises 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 youre 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 dont offer relocation package for this position.
- Youre 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. Were people building money without borders without judgement or prejudice too. We believe teams are strongest when they are diverse equitable and inclusive.
Were 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 its like to work at Wise visit .
Keep up to date with life at Wise by following us on LinkedIn and Instagram.
Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
