Manage a team responsible for providing Compliance coverage for various functions supporting the Corporate & Investment Banking (CIB) division at Wells Fargo, including Securities Operations, Finance Regulatory Reporting, Capital Markets Technology and Chief Administrative Officer. Provide regulatory guidance on horizontal topics including supervision, recordkeeping, electronic communications, third party compliance risk management and technology change management with focus on the requirements of CIB's primary securities regulatory authorities (SEC, FINRA, MSRB, CFTC, NFA).

Served as auditor-in-charge (AIC) for multiple audits across the legacy Wachovia and Wells Fargo Corporate & Investment Banking division.

Executed various audit testing steps across Wachovia's Corporate & Investment Banking division.

Managed finance functions for Fixed Income trading portfolio from trade inception through general ledger postings for US GAAP reporting.