• Developed, piloted, and implemented the Operational Risk Management Effectiveness Assessment methodology to evaluate business unit and function 1st Line of Defense operational risk programs, assess gaps, and identify to management where action plans and additional resources are required.• Developed second generation Operational Risk Management Framework Capabilities Assessment incorporating related Enterprise Risk Management program standards, including: Risk Acceptance, Risk Appetite, Risk Identification, Risk Reporting, Issue Management, and Effective Challenge.

Enterprise Risk Reporting and Intelligence is a newly formed group within Wells Fargo Strategic Enterprise Risk Management responsible for developing and managing board and executive management reporting on risks across the organization, and for developing strong risk analytics and intelligence capabilities to proactively identify and report on risk trends.

Managed a team responsible for developing, maintaining and evolving the Wells Fargo Compliance (WFC) governance framework, monitoring compliance with framework requirements, facilitating the flow of information across various governance committees, producing reporting for senior management, Board committees and other Wells Fargo stakeholders and establishing and maintaining operational procedures of the program framework.• Regulatory Compliance Risk Management (RCRM) Service Excellence Award recipient 2015 and 2016.• Served as RCRM Strategic Plan Oversight Director (March 2014 – January 2016) with a dedicated Project Management Team to ensure timely and effective execution of a multi-year strategic plan to implement the RCRM Policy and Procedures across Wells Fargo.• Served as Executive Officer of the Compliance Risk Management Committee, Wells Fargo's senior compliance risk governance committee. • Managed production and editing of Chief Compliance Officer's reports to Board committees. • Drafted, aggregated, reviewed, analyzed, and edited other department presentations to ensure high quality WFC reports to senior management, Board committees and governance forums. • Developed and produced a suite of periodic reports, including the Monthly Open Regulatory Matters Report, reports for the WFC Regulatory Relations team, Wells Fargo Audit Services and regulators, as well ad hoc reports for compliance stakeholders across Wells Fargo. • Developed and implemented procedures for the identification, review, documentation, escalation and reporting of compliance issues across Wells Fargo. • Developed and introduced the online Compliance Issue Escalation Tool to replace manual compliance issue escalation processes and reporting. • Managed, reported and refined enterprise Compliance Risk Appetite metrics. • BCBS 239 data quality representative responsible for Compliance risk report adherence to enterprise Governance & Oversight Framework documentation requirements.

Newly created Compliance group established with the Lehman Brothers acquisition to enhance corporate and committee governance and meet the challenges of increased regulatory oversight on a global basis. • Develop agenda, coordinate, review and edit presentations from business, infrastructure and risk management groups for quarterly meetings of the Barclays Capital Governance & Control Committee (G&CC), the firm’s senior governance body. Prepare Compliance & Regulatory, Brand and Reputation, Control Issues and Principal Risk reports.• Perform similar responsibilities for the Americas G&CC, which spans Barclays Capital, Barclays Corporate, Barclays Wealth and Barclaycard business units. • Prepare quarterly briefing notes for Co-CEOs of Barclays Capital and Barclays Corporate regarding topics and matters to be presented at the Group-level G&CC and Brand and Reputation Committee.• Manage a staff of three with responsibility for administering Control Issues, Principal Risk, Fraud Risk Control, U.S. Customer Complaints and Whistleblowing frameworks and related policies, as well as for Global Transaction Review, Contact with Regulators and Cross Border Services policies.• Developed and maintain a Regulatory Issues Tracking & Monitoring database to monitor and report on the status of action plans established to remediate regulatory examination and inspection findings.• Developed and introduced a centralized Regulatory Inquiries database consolidating regionally maintained data into a global management information tool for monthly and ad hoc reporting.• Established a Committee Governance framework, including 60+ committees involved in management oversight, business/transaction approval and risk management. Enhanced committee standards, including committee terms of reference (charter) guidelines, intranet webpage content and format.

As Executive Officer - New Products Committee Americas (NPC), reviewed new products proposals from Equities, Fixed Income, Mortgage Capital and Investment Management Divisions to determine scope of NPC review required, coordinating with regional NPC’s in Europe and Asia as appropriate. Conducted comprehensive new product infrastructure reviews across Operations, IT, Financial Control, Product Control, Tax, Treasury, Risk Management, Legal, Compliance, Insurance and Corporate Branding to identify support and control requirements and risks to be mitigated. Guided business sponsors in preparation of NPC presentations. Participated in meetings and prepared NPC minutes. Tracked and reported on status of action items set by the NPC.As Executive Officer - Complex Structured Finance Transactions Committee (CSFTC), reviewed proposed one-off transactions against firm complex structured finance transactions policy and guidelines to determine if CSFTC review was required. Similar responsibilities to NPC.Administered the firm’s Committee Governance framework. Worked with committees to draft a charter following firm guidelines and established committee web pages including: mission statement, charter, contact information and procedures links. Developed Minutes and Contingencies System (MACs) to track, control, report and archive committee decisions and automate follow-up on approval-related contingencies and action items.

As Vice President and Head of U.S. Network Management, Treasurer’s office, 2002-2003, led a team of four charged with establishing, managing and maintaining bank account, custody and clearing relationships for Lehman entities in the Americas. Managed RFP process for custody, clearing and trustee services to select providers best qualified to meet business requirements while minimizing firm costs. As Vice President and Co-Head of U.S. Creditor Relations, Treasurer’s office, 2001-2002, managed creditor relationships across major U.S., Canadian and Japanese banks. Coordinated global coverage with Creditor Relations teams in Europe and Asia to optimize credit provided by banks to meet short and long term funding needs of the firm. Introduced bank clients to firm business units to pursue joint trading and marketing opportunities. As Vice President and U.S. Head of Funding Documentation, Transaction Management Group, 1996-2001, managed a team of six in contract negotiation of Master Repurchase Agreements, Master Securities Loan Agreements, Global Master Repurchase Agreements and Triparty custody agreements. Assisted Fixed Income, Equities and Private Investment Management salespeople in marketing repo and securities lending products to U.S. and international financial institutions and HNW investors. As Vice President, Marketing Information Services, Private Client Services, 1993-1996, developed and managed Marketing Information Network Database (MIND) to deliver information to division executives for improved HNW sales force management and more effective client marketing. Designed and implemented Lead Evaluation and Distribution System (LEADS), an in-house target marketing system for prospecting HNW investors, eliminating vendor costs of over $800k per year. Conducted market research on clients, competition and the high net worth marketplace.