Lance Read Email & Phone Number

Charlotte, North Carolina, United States

Individual contributor role. Providing operational leadership for our team of 100+ in Employee Compliance Technology. Working with contractor staffing firms and vendors providing software as a service. Managing our annual budget. Taking the lead on any exercise / event / emergency that doesn't squarely fall to one of the Agile development teams yet is still critical to maintaining either regulatory or information security compliance with Wells Fargo policy. Regularly draft presentations and directly engage with senior leadership. Strategic roadmap creation. Relationship management across Compliance, Technology, and Product Management.

Charlotte, North Carolina, United States

Leading one team of Scrum Masters and one team of Business Systems Consultants. I'm in an operational leadership role to support my peers' Agile delivery teams from a staffing, financial, Agile Lead, and non-development related responsibilities. The larger org we support as a horizontal service is Employee Compliance Technology.

Charlotte, North Carolina, United States

Individual contributor for Employee Compliance Technology in a hybrid chief of staff / operations / financials type role. Responsible for planning and tracking annual budget, execution of the hiring plan across multiple managers, Agile Transformation, and any presentations for senior business and technology leaders on behalf of my manager.

Charlotte, North Carolina Area

Managed a small team of Business Analysts and Project Managers within Wells Fargo Securities Technology division. Supported the Trading Surveillance needs of WFS Compliance by working with various application development teams within WF Technology Operations Group as well as WFS Technology. Our Trade Surveillance included a wide variety of asset classes including but not limited to Fixed Income Cash, Equity Cash, Equity Options, Futures and Swaps (CDS, IRS, FX, Commodity). While WFS Compliance is responsible for understanding and enforcing the rules and regulations from FINRA, SEC, CFTC, NFA, OCC, CME, Dodd-Frank (and more) our team was responsible for making sure our systems deliver those trade surveillance controls as defined by the Compliance Officers . This includes rules that apply to the Broker Dealer, Bank, Bank Affiliates, Swap Dealer, Futures Commission Merchant (FCM) and Prime Services. In addition, we supported Control Room (Employee Surveillance), Research Compliance, Registrations and Electronic Communications Compliance in a similar Business Analyst / Project Manager / Technology Relationship role for multiple in-house developed systems.

Managed a small group within Compliance supporting both Securities Investment Group and Investment Banking & Capital Markets. Serving as a liaison between business unit compliance officers and various technology groups that maintain the systems and reports used by compliance. Coverage includes sales and trading surveillance, employee trading controls, regulatory reporting and anti-money laundering (AML) surveillance.

I began working in 1996 with legacy First Union as a contractor developing in Java/Windows and C++/UNIX. I converted to full-time employee and then in 2003 I was promoted to manager of a team of 5-10 developers. I played a key role in designing and building Wachovia's fixed income cash system for sales & trading. The system has evolved over more than a decade of use but, at its core, it supports institutional fixed income trade capture, compliance rules/reports, position management, offering management and straight through processing. The system uses various libraries and languages such as Tibco EMS, JMS, TCP/IP, Java, JDBC, C++, STL, RogeWave, FIX, SWIFT, CTCI (FINRA), OSI (Sungard)It supports a variety of FI products: US Treasury, Agency, Brokered CD, Municipal, MBS, Commercial Paper, Corporate, Interest Rate Futures/Options, Sovereign DebtIt integrates with extermal ECNs and systems: BondDesk, MarketAxess, DTCC/TradeHub, SEI, eSpeed, BrokerTec, MBS Expert, WinFits, Sungard/Phase3 and Omgeo/Oasys

Worked as a programmer for IBM in Research Triangle Park, Raleigh, NC. (see IBM experience)Worked as a programmer for First Union (now Wachovia, a Wells Fargo company) in Charlotte, NC. (see Wachovia experience)

Worked as a contractor doing C and DB2 development for a shop floor control system. Part of a group of developers supporting an OS/2 application used by the assembly floor to track/assemble customized desktop and laptop orders.

Worked in technology for Burlington Menswear as a developer creating 2-tier applications used in textile manufacturing as well as sales. Utilized PowerBuilder and SQL Server. Worked with OS/2 and Windows 3.11.