Wells Fargo
Managing Director, Head of Equity Aggregation Compliance
Ubs Jul 2012 - Feb 2018
Americas Head, Employee Conduct Compliance
Bank of America Jul 2010 - Jul 2012
Senior Vice President, Senior Compliance Manager, Global Principal Investments Compliance
Bank of America Mar 2004 - Jun 2010
Senior Vice President, Senior Compliance Manager, Global Regulatory Equity Aggregation Team
Kennedy Covington Sep 1999 - Mar 2004
Associate Attorney
Education:
Washington and Lee University May 1998
Doctor of Jurisprudence, Doctorates
Washington and Lee University School of Law 1995 - 1998
Doctor of Jurisprudence, Doctorates, Law
State University of New York May 1995
Bachelors, Bachelor of Arts
Suny Geneseo 1991 - 1995
Bachelors, Bachelor of Arts, Communication, Legal Studies
Skills:
Risk Management Corporate Law Operational Risk Corporate Governance Legal Writing Risk Assessment Operational Risk Management Securities Equities Due Diligence Securities Law Compliance Compliance Management Mergers Procedure Development Testing Regulatory Reporting Regulatory Filings Regulatory Liaison Regulatory Requirements Global Management Dodd Frank Legal Compliance Legal Research Financial Regulation Drafting Policies Employee Training Presenting To Senior Management Team Management Project Management Project Planning Metrics Definition Metrics Reporting Mergers and Acquisitions Financial Services Banking Management