J. William Dangler, J.D. Email and Phone Number

Collaborate with local law enforcement and other independent judicial officials to research and implement the legal principles incorporated in the North Carolina General Statutes, local criminal codes, and municipal ordinances. Conduct initial appearances, set conditions of release, issue arrest and search warrants, provide punishment for direct criminal contempt, and issue subpoenas.Process dispositions by waiver for misdemeanors and infractions involving alcohol, traffic, boating, state park/recreational areas, littering, and wildlife (e.g., hunting, fishing)Accept and rule on affidavits and petitions for involuntary commitment proceedings and emergency temporary domestic violence protective orders.

Collaborated with Corporate Investment Banking and Commercial Banking, and global partners with EMEA and APAC, in protecting MNPI (Material Non-public Information) and CSI (Confidential Supervisory Information) by monitoring broker dealer and deal team communications, issuing violations and ensuring proper complaint management. Analyzed a company-wide view for risk management by interpreting policies, procedures, and compliance requirements to identify broad issues in moderate to high-risk compliance matters and facilitate or enforce remedial measures when necessary.Researched and implemented new regulations, managed related projects, and provided directives to the business on developing corrective action plans and effectively managing regulatory change.Exceeded 96+ hours of continued education to maintain proficient working knowledge of: UDAAP; Regulations O and W; AML/BSA; Anti-tying; EMEA Market Conduct; Anti-competitive Behavior; Financial Crimes for WFS; Fair Credit Reporting Act; SCRA for Business Lending; LIBOR; GDPP; and Anti-bribery to support policy implementation and ongoing monitoring across key compliance partners and subject matter experts.Trained team on new compliance processes and procedures while partnering effectively across the front-line to encourage sound judgement in addressing over 4,000 potential risk issues daily.

Engaged senior compliance leaders and the legal department in adjudicating and directing a risk-based compliance program designed to drive compliance with § 619 of the Dodd–Frank Wall Street Reform and Consumer Protection Act (The Volcker Rule). Identified issues, deficiencies, inconsistencies, or opportunities for improvement in business processes based on detailed testing by challenging regulatory compliance activities across Wells Fargo’s Corporate Investment Banking. Developed and enforced standards to ensure action plans are challenged, administered and there is transparency about the progress of issue resolution by monitoring the reporting and escalation through CIB’s Trigger Management System and communicating with issue owners, issue contacts, front-line issue verification teams and other stakeholders to: determine if new controls are required or existing controls need to be enhanced; determine if the corrective action is measurable; and influence and encourage an understanding of the requirements of the Issue Management Policy. Drafted, revised, and finalized compliance policies, desk procedures and processes, and facilitated the implementation of education and awareness of new/revised policies.

Conducted and documented the review of all systems generated alerts created from the centralized monitoring programs within Enterprise Financial Crimes Compliance (EFCC) and manual alerts received via internal and external sources. Performed risk assessment and modeling to provide input and recommendations for financial crimes strategies and models. Completed in-depth reviews of audit reports, client actions and monitoring activities. Provided feedback and expertise to the Monitoring Management & Development team to support the effectiveness of various monitoring programs throughout the monitoring program life cycle.

Implemented thorough anti-money laundering investigations and reviewed Wells Fargo customer accounts for potential Bank Secrecy Act (BSA) violations, while drafting, revising, and protecting the confidentiality of appropriate Suspicious Activity Reports (SAR). Coordinated and reinforced analytical interpretations of BSA violations and SAR confidentiality and amplified transparency and clarity when issuing Requests for Information (RFI) to partnering banks or law enforcement. Identified and evaluated customer EDD and ensured compliance with state and federal regulations. Developed and integrated, through ad hoc training, improvements to the investigative process to promote concise and articulate communication of analytical findings to partnering law enforcement, senior leadership, and lines of business. Performed investigative research, root cause evaluation and consulting regarding complex financial crimes transactions, policy violations and suspicious situations with moderate to high risk

Conducted an analytical review of critical financial documents while cross-referencing those documents with relevant court orders and identifying pertinent information relating to a banking institution’s vulnerability to legal liability. Maintained confidentiality and professionalism and protected privileged information. Maintained 95% accuracy during review of relevant documents. Adept and proficient use of the Relativity software.