Enthusiastic, driven, and results-oriented attorney and compliance professional. Currently managing counsel in the Public, Regulatory, and Corporate Affairs Division of the Wells Fargo Legal Department. Manage a team of legal professionals responsible for supporting all aspects of the Government Relations and Public Policy function. This includes legal review of proposed changes to federal and state laws and regulations, political law matters, and regulatory developments. The team is also the centralized Legal Department resource for strategic regulatory engagement (e.g., horizon scanning, emerging risks, advocacy, trade associations, and implementation) and support of Congressional inquiries.Formerly senior counsel in the Derivatives and FX Section of the Wells Fargo Legal Department. Former manager of the Commodities Compliance Team at Wells Fargo Corporate and Investment Banking. Specialties: Commodities and derivatives regulatory (including some crypto and digital assets) - FERC, SEC, FINRA, NFA and CFTC matters, general litigation and enforcement. CFTC regulations relating to physicals, swaps and futures, including mandatory clearing and exceptions and exemptions thereto (Part 50), derivatives clearing organization registration and compliance (Part 39), regulatory and real-time public reporting (Parts 45 and 43), swap dealer business conduct requirements (Part 23), and Volcker (Part 75). LIBOR transition. Compliance with OCC and Federal Reserve requirements applicable to the trading of financial and physical derivatives, including Regulation W. FERC regulatory matters. Managed the compliance efforts around the implementation of uncleared margin. Led Wells Fargo Corporate and Investment Banking regulatory response to COVID-19 and implementation of the Security-Based Swap Dealer. Expert in new security-based swap regulations for security-based swap dealers and led multiple working groups at the industry level.
Listed skills include Legal Research, Securities Regulation, Corporate Law, Intellectual Property, and 13 others.
