James Dolan Email and Phone Number
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Compliance and Risk Management Executive with extensive industry experience and proven ability to be build diverse global teams. Career has focused on establishing control programs for broker-dealer and bank regulatory units for Fortune 500 and multi-national financial services corporations. Areas of subject matter expertise include conflicts of interest, ethics & culture, reputation risk, personal trading and the protection of material nonpublic information. Possesses effective persuasion and negotiation abilities as well as solid experience interacting with domestic and international regulatory agencies. Established track record of leading teams that consistently deliver exceptional results during audit and regulatory reviews.
Wells Fargo
View- Website:
- wellsfargo.com
- Employees:
- 246787
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Enterprise Risk Manager - Executive DirectorWells Fargo Sep 2022 - PresentNew York City Metropolitan AreaReputation Risk Metrics, Reporting and Program Manager
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Chief Compliance OfficerStandard New York, Inc. Oct 2021 - May 2022New York, New York, United States -
Managing DirectorCredit Suisse Sep 2019 - Dec 2020New York, New YorkCompliance 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 -
Managing Director - Ethics And Business Conduct Risk ManangerWells Fargo Sep 2015 - Aug 2019New York, New YorkCompliance 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
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Managing DirectorBank Of America Sep 2001 - Sep 2015Greater New York City AreaCompliance 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 -
Compliance AssociateGoldman Sachs Sep 1998 - Sep 2001New York, United StatesOversaw the administration of the global watch and restricted lists and related surveillance activities. -
Compliance Attorney, Vice PresidentBear Stearns & Co. Jan 1997 - Aug 1998New York, United StatesManager/Attorney for the Firm's Global Control Room. Oversaw the administration of the global watch and restricted lists and related surveillance activities. -
Compliance AnalystPainewebber Mar 1995 - Jan 1997Weehawken, New Jersey, United StatesOversaw the administration of the global watch and restricted lists and related surveillance activities.
James Dolan Skills
James Dolan Education Details
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Doctor Of Law (Jd) -
International Business -
Marquette UniversityPolitical Science And Government
Frequently Asked Questions about James Dolan
What company does James Dolan work for?
James Dolan works for Wells Fargo
What is James Dolan's role at the current company?
James Dolan's current role is Executive Director Reputation Risk Oversight.
What is James Dolan's email address?
James Dolan's email address is jd****@****els.com
What schools did James Dolan attend?
James Dolan attended Brooklyn Law School, Fordham Gabelli School Of Business, Marquette University.
What skills is James Dolan known for?
James Dolan has skills like Risk Management, Banking, Customer Service, Project Management, Sales, Strategic Planning, Microsoft Office, Financial Analysis, Business Analysis, Portfolio Management.
Who are James Dolan's colleagues?
James Dolan's colleagues are Christopher Valenzuela, Deitra Bailey, Olatundun. O Aborisade, Gerry Deleon, Kannan Krishnan, Henry Walls, Lilliam Rodriguez.
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