Danny Smith Email and Phone Number
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Danny Smith is the Head of Wealth and Investment Management (WIM) Operations Compliance at Wells Fargo. His group serves as the primary compliance partner for WIM Operations.Mr. Smith entered the financial services industry as a Financial Advisor for Morgan Stanley Dean Witter (MSDW). He joined Ferris, Baker Watts, Inc. (FBW) in Washington, DC after MSDW and focused on internal marketing and sales of investment company products and 529 college savings plans. In addition, he developed and grew FBW’s advisory account platform. Danny joined Wells Fargo Advisors in 2004 (then Wachovia Securities) in Richmond, VA in the Financial Products and Investment Advisory Services Compliance group. In 2008 he was named the Manager of Enterprise Regulatory Compliance Reporting and Forecasting for Wells Fargo Corporation (then Wachovia Corporation) in Charlotte, NC. Prior to his current role he served as Senior Manager of the Financial Products Compliance team in St. Louis, MO for Wells Fargo Advisors, LLC. Mr. Smith earned his MBA from George Washington University and has bachelors' degree in economics and management from Gettysburg College. He is a graduate of the SIFMA Securities Industry Institute, a premier executive development program for securities industry professionals, held at the Wharton School of the University of Pennsylvania.
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Managing Director - Head Of Wealth And Investment Management Operations ComplianceWells Fargo Apr 2024 - PresentSan Francisco, California, UsAccountable for establishing and overseeing execution of the enterprise-wide compliance program designed to proactively and systematically identify, assess, measure, monitor, control, and report on significant regulatory compliance risks relative to the WIM Operations front line businesses. Manage a team that oversees the highly complex WIM Operations business across multiple legal entities and regulatory agencies. Assume primary responsibility for ensuring activities follow applicable laws, rules, and regulations, leading a team of compliance professionals, and responsible for administering a compliance program that is designed to achieve compliance with applicable regulatory standards.
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Managing Director - Financial Products ComplianceWells Fargo Jan 2009 - Apr 2024San Francisco, California, UsManaged the compliance department’s financial products group. Served as the primary products compliance partner for product and business channel management. Ensured compliance with all laws and regulations in connection with all investment products, planning services, and banking services offered at the firm. Served as a compliance subject matter expert in the development of new products and services, policies, procedures, controls, training, and client disclosures.
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Vice President - Enterprise Regulatory ComplianceWells Fargo Jun 2008 - Jan 2009San Francisco, California, UsLed regulatory reporting and forecasting across all business lines of the enterprise including community bank, brokerage, capital markets, credit, deposits, and lending. Monitored the regulatory horizon by detecting and anticipating emerging regulatory and economic issues. Coordinated cross-functional teams to investigate enforcement actions and regulatory priorities and recommended corrective action if needed. Built working relationships with regulators to coordinate exams, gain insight into current and upcoming regulatory issues, and create a central point of contact for regulators within the firm.
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Vice President - Financial Products And Advisory Services ComplianceWells Fargo May 2004 - Jun 2008San Francisco, California, UsManaged compliance-related issues for mutual funds, UITs, 529 college savings plans, closed-end funds, hedge funds, managed futures funds, and structured products. Developed internal policies for cash and non-cash compensation, gifts and business entertainment, and level zero business. Created and implemented firm initiative for older investor protection.
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Manager - Mutual Funds Compliance TaskforceFerris, Baker Watts Inc May 2003 - May 2004Led a team of six analysts in the managed assets department. Managed the firm’s breakpoint review for class A share purchases between 1999 and 2003 resulting in refunds to clients who did not receive appropriate sales discounts.
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Product Consultant - Packaged Products And Advisory ServicesFerris, Baker Watts, Inc 2000 - 2004Strategically marketed packaged products and investment advisory services to 275 investment executives and 50 independent contractors through group presentations and training, individual consultations, and memo briefs.
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Financial AdvisorMorgan Stanley 1999 - 2000New York, Ny, Us
Danny Smith Skills
Danny Smith Education Details
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The Wharton SchoolSii - Securities Industry Institute -
The George Washington University School Of BusinessFinance
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Gettysburg CollegeManagement
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Landon School
Frequently Asked Questions about Danny Smith
What company does Danny Smith work for?
Danny Smith works for Wells Fargo
What is Danny Smith's role at the current company?
Danny Smith's current role is Managing Director - Head of Wealth and Investment Management Operations Compliance.
What is Danny Smith's email address?
Danny Smith's email address is sm****@****ail.com
What is Danny Smith's direct phone number?
Danny Smith's direct phone number is +151387*****
What schools did Danny Smith attend?
Danny Smith attended The Wharton School, The George Washington University School Of Business, Gettysburg College, Landon School.
What are some of Danny Smith's interests?
Danny Smith has interest in Social Services.
What skills is Danny Smith known for?
Danny Smith has skills like Alternative Investments, Equities, Management, Series 63, Capital Markets, Forecasting, Investments, Credit, Internal Controls, Finance, Fixed Income, Loans.
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