As a Lead Audit Manager I engage in the planning and execution of audits for the various functions within the organization that are governed by the SEC and related SROs. My main responsibilities include ensuring that auditors are properly testing identified controls, providing them with source data, and implementing continuous monitoring solutions where possible. I have served as the Auditor in Charge for many, sometimes concurrent, engagements, ranging in duration from 60 days to two years, and have made key contributions in the successful completion of many larger scale engagements and validations. Prior to this role, I worked as a Senior Auditor, where I completed detailed control assessments for many controls and collaborated with senior leaders during a number of audits and validations. I was recognized for offering assistance to my team outside of my responsibilities.

The Complaint Resolutions Group is tasked with ensuring that complaints are handled according to the prescribed rules set by the United States Code and the various exchanges of which Wells Fargo Advisors is a member. These rules, along with internal policy requirements, primarily deal with the recording, research, resolution, and reporting of complaints for and against Wells Fargo Advisors or an associated person(s). As an oversight analyst, my role within the Quality Assurance, Analytics, and Reporting team is responsible for ensuring the accuracy of the information captured in our System of Record (SOR) and the data being reported out to our internal and external regulators. Accomplishments:• Solely responsible for undertaking and completing multiple projects aimed at streamlining our review activities, creating code in Visual Basics which turned multiple-week reviews into instantly available information and saving enough time to reduce staff. Some examples projects include: o Cataloguing and cycling through data elements within an array, and comparing them against themselves in a larger context. This automation allowed for: a systemic capturing of case manager errors, preventing errors in our teams’ audits, and increasing our sampled cases from 14% to 100%. o Capturing changes made to routinely reported open and closed disputes by comparing cases against their previously reported status; thus ensuring conformity to the requirements set by internal and external regulators, and consistency amongst other platforms reporting out our data

Elected as the Webmaster for the Veterans Team member Network where I:• Report to chapter communications officer.• Maintain and update the chapter internal website• Provide website attendance statistics yearly at chapter meetings.• Coordinate sharing with Wells Fargo Veterans Websites.• Coordinate with other directors for website responsibilities and updates.• Reports at General Membership or Board Meetings if needed.

Beginning with the 2011 tax year, new IRS regulations come into effect changing the way broker dealers report capital gains and losses. These changes brought on by the Economic Recovery Act of 2008 mandated that ‘covered’ securities must have their cost basis information adjusted, recorded, reported, and also places the liability of tracking these changes on the custodians of those assets. Initially brought on as a subject matter expert to consult on the stop-gap between the legislation and the system•Built a program that computes all pertinent cost basis information using only trading history with respect to all applicable laws and the information required by Wells Fargo’s reporting software•Used SQL queries to manipulate data in order to find accounts that where calculated erroneously •Designed and implemented a system that gave real time statistical tracking of team progress to supervisors•Was selected to help build and validate scenarios which would test the changes that were being implemented to the reporting software, as well as proposing changes to be made for the future scope of the project.Because the staggering dates implementing various securities into the Economic Recovery Act of 2008, which are not set to conclude until 2015, and the limitations in the contract with which I was working, I was brought on to build a team that primarily focuses on the reconciliation of wash sales and the application of the changing laws into the existing system.•Built the policies and procedures for the department based upon my methods for recreating tax lots, always using the most current cost basis account methodology, which describes in depth the processes I created. These policies covered the treatment of; options, short sales, corporate actions, mutual funds, average cost, 475(f) elections, bonds, and force balancing.•Was selected as Team Member of the month for the department for the month of November, 2013 for my work with short sales

WAS is a small accounting firm, built on a business that was began in the late 50’s then let go in the late 90’s. WAS provides small businesses and individuals with the financial knowledge and resources to maintain or achieve solvency and beyond.• WAS has around 40 clients that require various forms of accountancy work. This ranges from weekly meetings with small business owners to help record expenses, to individuals that need help completing their tax return• Used Visual Basics to help build programs that would compute complex calculations using PDF files of clients 1099’s• Became proficient with many different accounting software programs

AVL WealthCare is an RIA that manages individual and institutional assets. There were two primary investment advisors that I reported to on a daily basis, ensuring that clients’ needs were met and exceeded.Accomplishments:• Prepared and delivered presentations given to clients, including portfolio analysis, Monte Carlo analysis, cash flow and budgeting reports, and education planning• Assisted in the development and placement of a more structured time management system using existing CRM, increasing communication, which increased productivity• Helped run and establish an excel based program which computes social security benefits as to help clients determine when they should start drawing their benefits, and how to plan for social security given their anticipated longevity.