Manager of Wells Fargo Corporate & Investment Banking Policy, Emerging Risk and Training team. Strategic transformation, globalization and daily management of compliance programs including governance documents (policies and procedures), regulatory change management, new business initiatives, fines/sanctions, and regulatory training.

Leader of Middle Market Banking Business Regulatory & Tax team (BRTR) charged with the mitigation of regulatory, conduct and tax risks. Key responsibilities include:-Building, maintaining, and guiding a team to meet regulatory and tax requirements in Wells Fargo’s Middle Market Banking group (which includes but is not limited to: Business Banking, Middle Market, Gov't & Institutional Banking, Gaming, Small Business Admin Lending, Restaurant finance, Technology/Media/Telecom, Food/Bev, Defense/Aerospace, Public Infrastructure, Waste/Recycling, Global Advisory, and Investor Real Estate)-Analyze regulatory requirements to ensure processes are designed to meet required standards-Design and implement processes to support regulatory compliance-Create training and awareness to communicate process and procedural requirements to impacted businesses-Communicate risk and process updates to senior leadership-Partner with legal and compliance to establish adequate risk-mitigation strategies

Wells Fargo Wholesale Divisions supported: Government & Institutional Banking Commercial Group ( Government Banking, Healthcare Financial Services and Education & Nonprofit Banking) Compliance Management Responsibilities include: • Developing, implementing and monitoring risk-based compliance programs to identify, assess and mitigate any non-compliance with federal, state or agency law applicable to the Government & Institutional Banking Commercial group • Implementing a program to identify, formulate and implement compliance risk policies, procedures and controls • Designing monitoring strategies, methodologies and analyses • Identifying and assessing regulatory risk issues for consistency with established policy standards • Developing, implementing, and administering compliance oversight, surveillance, and monitoring strategies and methodologies to applicable regulations impacting line of business • Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations • Consulting with management to develop corrective action plans and effectively manage change to ensure regulatory compliance • Identifying training opportunities; designing/coordinating the development of training materials; delivering or coordinating training delivery • Reporting findings and developing business cases to influence senior management on the need for controls to mitigate risk • Managing project teams and providing guidance to less experienced consultants.

Wholesale Workout (Credit Resolution Group and REMAG) and Owned Real Estate - distressed portfolio: Commercial Real Estate, Commercial Banking Group, Corporate Banking, International, Gov't & Institutional Banking, Specialized Lending Roles and Responsibilities included but were not limited to: • Identifying, monitoring, and assessing risks that arise from inadequate or failed internal processes, people, systems, or external events while maintaining a balance between risk mitigation and operational efficiency.• Providing expertise and guidance to management on applicable regulatory compliance requirements and operational controls.• Consulting with businesses to develop corrective action plans while effectively managing change.• Reporting findings and drafting recommendations to mitigate risk to operational and business line management.• Developing line-of-business specific guidance and procedures to assure compliance with laws, regulations, and Wells Fargo Corporate Risk policies.

Internal Control Examiner and Consultant • Planned and executed testing programs for various areas within the Brokerage and Investment Advisory business. • Assured compliance with federal, state, agency, legal and regulatory requirements which encompassed evaluating the adequacy of Internal Controls, reviewing the work of other consultants, working with business owners to ensuring controls were well designed and operating effectively.• Successfully managed audit projects during the absence of an Internal Review Team Lead in order to supply leadership during a crucial departmental management attrition period. This included: evaluating the adequacy of internal controls, reviewing the work of other consultants assigned to the project, working with business units on recommendations for remediation, and reporting findings to senior management.• Monitored the resolution of outstanding issues and consulted with senior leaders in developing corrective actions to ensure regulatory compliance. • Performed substantive reviews of changes to policies and procedures to ensure internal control implementation. • Provided guidance to less experienced consultants.

• Commodity sourcing and deflation process design for GE Energy• Expense management process execution and root cause gap analysis of expenses