Amy Bard Email & Phone Number

St. Louis, Mo, Us

San Francisco, California, Us

San Francisco, California, Us

San Francisco, California, Us

Central point for managing the business adoption of Enterprise Technology End User Services products focusing on the controls required to comply with CIB regulations and policiesSubject Matter Expert for CIB on desktop, mobility, collaboration platforms, phones, voicemail, voice recording and digital platforms; social media, websites, and internet contentSME on communications, record retention, privacy, confidentiality and surveillanceWork closely with CIB business stakeholders, CIB control, compliance and legal to define, implement and manage controlsServe as Stakeholder/SME on Technology Projects that impact CIBs regulatory riskWork closely with technology to drive implementation of controlsImplement procedures supporting CIB businesses to ensure proper execution of controls, including exception managementOversee reporting and metrics to ensure control effectiveness, including trend analysisDrive efficiencies and automation

San Francisco, California, Us

Responsible for an assurance function that monitors the compliance programs of Enterprise Information Technology and Information Security as they impact the regulatory risks of CIB. The scope of the program for EIT/EIS covers areas and functions including; books & records, information security, cyber security, third party risk management, technology projects, electronic trading controls, access controls, Reg SCI, FINRA covered functions and electronic communications. In addition to;1. Risk Ownership & Governance2. Risk Identification & Assessment3. Policy, Procedures & Controls4. Review Activities5. Reporting & Metrics6. Issue Management7. Training & Awareness8. Regulatory InteractionFoster productive working relationships with stakeholders across the organization, including EIT management, Corporate & Investment Banking (CIB) business management, Business Unit Compliance Officers and other corporate compliance teams. Additionally; • Manage compliance advice, guidance and review for electronic communication tools infrastructure, technology initiatives and books & records • Manage a third party risk management program, a technology change/project management program and a technology incident program for CIB Compliance • Remediate gaps in technology infrastructure, books & records, information security, cyber security, electronic trading controls, access controls, SCI and FINRA covered functions• Manage a monitoring process to identify, escalate and partner with stakeholders to remediate events related to Corporate and regulatory requirements for retention and supervision of electronic records, eDiscovery, third party applications and access management• Point of contact for Technology Change initiatives; projects, inherent risk review and software development lifecycle changes for Technology Compliance. This requires managing multiple projects and engagements across Corporate & Investment Banking and Enterprise wide initiatives

New York, Ny, Us

Market Supervision Manager for the St. Louis Market / Vice President Supported the Firm's business objectives and contributed to the Market's profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Ultimately, responsible for protecting the Firm, growing the business and serving the client by proactively managing and mitigating risk. Responsible for a wide variety of delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices. Managed risk, made sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products.Ability to speak in terms of client needs and concerns, and coach Financial Advisors on aligning solutions to goals in a suitable and controlled wayProvided coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation. Identified trends, root cause and effects, and implemented improved processes to mitigate risk.

St. Louis, Missouri, Us

Compliance Technology Analysis & Infrastructure – Manager / Senior Vice PresidentCompliance Advertising Review – Manager / Senior Vice President• Provided risk review and assessment of third party tools and software for use within the firm• Developed programs to address and monitor heightened system access control • Managed Compliance advice, guidance and approval for electronic communication tools infrastructure• Remediated gaps in technology infrastructure, books & records, privacy and data security• Addressed privacy and information security concerns in third party applications and software • Represented Compliance on Firm EACO calls that raised technology issues, providing oversight and remediation, which required 24/7 availability• Oversaw both a compliance technology decision forum and a software review decision forum• Compliance lead on the technology high risk review committee and Books and Records Committee• Provided guidance on proper use, deployment and documentation of electronic communications• Managed electronic communications policies and procedures for regulated users at Wells Fargo Advisors and Wells Fargo• Managed the approval of access requests to social media outlets and web content• Provided advice on maintenance of the firms risk based email lexicon and served as gatekeeper to approve access to the lexicon• Created training material and presented to the field associates, Qualified Supervisors and our home office partners on a number of regulatory issues • Knowledgeable in FINRA, SEC, MSRB and FTC regulations• Subject Matter Expert and owner for Compliance on Books & Records, GLBA, Privacy and Data Security and Can-Spam• Managed the review of correspondence and retail communications for the home office and field

St. Louis, Missouri, Us

Compliance Advertising Review• Responsible for providing compliance review of firm marketing and advertising communications• Knowledgeable in industry policy and procedures, public regulations and interpretations with specific knowledge of communication rules• Knowledgeable of the industries products and services• Met time critical deadlines and interpreted new and existing regulations • Designated Registered Options Principal for advertising review• Created and maintained the departments training guide for employees and had a lead role in the training program for Compliance Advertising• Department mentor and trainer• Lead role in researching new regulations• Led several risk based initiatives in conjunction with the firm’s business leaders

St. Louis, Mo, Us

Advertising Review