James Dolan Email & Phone Number

New York City Metropolitan Area

Reputation Risk Metrics, Reporting and Program Manager

New York, New York, United States

New York, New York

Compliance and Risk Management Executive (Managing Director) responsible for managing the firm's Investment Banking, Capital Markets, Research Compliance Teams as well as Global Shareholder Reporting and Global Conflicts of Interest Programs. Responsibilities included the development and implementation of policies, procedures, monitoring & testing routines, risk assessments, training, staffing models as well as governance metrics and reporting.CORPORATE GOVERNANCE ROLES•Chairman and member of the Bank-wide Conflicts Practice Group•Co-chair of the Operational Risk & Compliance Committee•Member of the Compliance Risk Management Committee•Member of the Central Compliance Office Data Council•Member of the Global Volcker Oversight Committee•Member of the Central Compliance Officer Steering Committee

New York, New York

Compliance and Risk Management Executive (Managing Director) responsible for the implementation and oversight of the firm's Conduct & Culture Compliance Program for Wells Fargo Wholesale/Institutional businesses. Team served as a central point of contact for conduct compliance regarding the implementation and execution of Wholesale Banking Conduct Risk initiatives. Coverage areas included: Business Conduct and Culture, Conflicts of Interest, Outside Business Activities including Sales Practices, Complaints, Gifts & Entertainment, Business & Personal Activities with Government Entities, Referral Management matters as well as Advertising & Marketing Compliance. Partnered with the Bank's Enterprise Conduct Management Office, International Compliance Teams and Wholesale Lines of Business in the implementation, execution and governance of the Wholesale responsibilities under the Banks Conduct Risk Framework. CORPORATE GOVERNANCE ROLES•Member of Global Banking Compliance Leadership Team•Member of Bank's Reputational Risk Oversight Committee•Member and lead for the Wholesale Conflicts Officer Network and Conduct Forums•Member of the Global Banking Policy Review Committee•Member of the Escalated Complaints Governance Board •Member of the Wholesale Referral Management Committee•Member of the Information Barrier Steering Committee

Greater New York City Area

Compliance and Risk Management Executive (Managing Director) responsible for managing various global coverage and program teams covering risk. Provided strategic oversight and coordination of Compliance best practices for multiple global lines of businesses including Global Investment Banking, Global Capital Markets, Global Research as well as bank-wide coverage for the Bank’s Global Control Room, Equity Aggregation/Reporting Team, Employee Trading and Outside Business Activity Group that covered over 95,000+ employees and the Canadian Compliance Team that covered banking and markets products. Responsibilities included managing the development and implementation of policies, procedures, monitoring & testing routines, risk assessments, training, staffing models as well as governance metrics and reporting.CORPORATE GOVERNANCE ROLES•Member of Global Banking and Markets Compliance Leadership Team•Member of both the Global Business Leadership Team for Investment Banking and for Capital Markets•Member of Reputational Risk Committee (Voting delegate for Compliance Executive)•Member of both Enterprise and Global Banking and Markets Conflicts Forums•Member of Global Banking and Markets Policy Review Committee•Member of Global Compliance Advisory Council for Recruitment

New York, United States

Oversaw the administration of the global watch and restricted lists and related surveillance activities.

New York, United States

Manager/Attorney for the Firm's Global Control Room. Oversaw the administration of the global watch and restricted lists and related surveillance activities.

Weehawken, New Jersey, United States

Oversaw the administration of the global watch and restricted lists and related surveillance activities.

Doctor Of Law (Jd)

Master Of Business Administration - Mba, International Business

Bachelor Of Arts (B.A.), Political Science And Government