Tyler Egan Email & Phone Number

Charlotte, North Carolina, United States

• Collaborate with the Municipal Products Group Supervisors, Business Control Partners and COO teams as well as other support functions (e.g., Compliance, Testing, Risk, Operations, Technology, Legal, Audit and Human Resources) to provide business aligned supervisory support• Enforce an efficient and effective supervisory framework by providing trading and compliance expertise to address potential gaps in supervisory coverage, and monitoring the evolution of applicable rules, regulations, and industry best practices• Work with control partners to identify control gaps, design, implement and track through issue remedial actions to close and continue to improve conduct and culture within the business and wider organization, including but not limited to communications surveillance, trade surveillance, conflicts of interest, customer care obligations, unauthorized trading, etc. • Provide input into Enterprise and Global Markets policies and procedures to uplift existing programs• Act as an escalation point for any items that require escalation, awareness, or approval

Charlotte, North Carolina, United States

• Led cross functional teams for multiple RAU’s within the Risk and Control Self-Assessment (RCSA) program, including FICC Markets Account Origination and Onboarding, Underwriting, and Loan Closing Documentation Services, and Municipals Trading Service• Utilized strong leadership skills to collaborate and facilitate RCSA workshops between Control, Legal, Compliance, QA, COO, and Business Partners to strategize, plan, and successfully affirm multiple RCSA Annual Refreshes• Quickly adapted to multiple new, complex RAU’s to understand and analyze Control Suites, Risk Alignments, Major Compliance Requirement (MCR), Inherent Risk Ratings, Operational Risk Questionnaires, and within various lines of business • Trained colleagues to foster a collaborative team environment with a focus on growth, efficiency, process development, and risk mitigation

Charlotte, North Carolina, United States

Charlotte, North Carolina, United States

• Support RCSA program for the Global Technology Business Management Resiliency and Control division by analyzing People, Systems, External, and Process Risks to identify potential gaps in reporting• Improved efficiency by revising templates for 20+ divisions, leading weekly meetings, and thoroughly evaluating responses • Led efforts to improve multiple processes, including Key Risk Reviews and Risk ID, to efficiently deliver monthly reporting to senior level Global Technology executives resulting in effective risk mitigation• Acted as process delegate to ensure metrics are accurately documented, rated, and created action plans for delinquent processes

Charlotte, North Carolina, United States

• Implemented the Compliance Framework for the Loan Syndications and High Yield Debt Capital Markets lines of business through both internal policies and procedures, as well as FINRA requirements• Provided compliance support and guidance to the Fixed Income Commitment Committee for High Yield transactions to protect against potential conflicts of interest, and regulatory concerns such as SEC Regulation M and FINRA Rule 5121• Supported Senior Compliance Officers with various policies and procedures, including Quarterly Supervisory Principal Attestations, Closed Deal File Reviews, Pitch Book Reviews, and Audits• Demonstrated firm understanding of the business organization to document, review, and interact with supervisors, investment bankers, analysts, and associates through surveillance and ad-hoc inquiries

Charlotte, North Carolina Area

• Researched and comprehended the Wells Fargo business structure to effectively assist the Middle Markets, Generalist, Credit, and Asset-Backed Finance lines of business within Corporate & Investment Banking• Executed strong analytical skills to identify potential risks in regulatory surveillance and improve policies for multiple processes, including Office Inspections, Business Continuity Planning, MRSB Rule G-47 Reports, FINRA Rule 3110 Surveillance, and trade monitoring including Wash, Parking, Reg T, and Reg S• Assisted in delivering Compliance, new hire, and ad hoc regulatory trainings to line of business coverage• Interacted with the salesforce, traders, and Supervisory Principals to solve problems, research inquiries, mitigate risk, and enforce policies set forth by Wells Fargo, FINRA, and the SEC

Charlotte, North Carolina Area

• Protected against misuse of material non-public information and insider training through trade surveillance, account reviews, data retrieval, and statement tracking • Delegated tasks on all lead duties and trained new colleagues hired to build out the Wholesale Control Group • Created and improved processes and procedures as policy coverage expanded from 8,000 employees to over 30,000 employees • Worked with IT to improve functionality and build out onboarding and monitoring processes• Discovered over 500 undisclosed accounts, caught up over 3,000 backlogged statement reviews, and brought team months ahead of schedule

Charlotte, North Carolina Area

• Attended informational sessions to gain intensive knowledge about brokerage services and the financial industry• Engaged in hands on trainings to understand customer account actions such as executing trades and account transfers• Gained extensive knowledge on asset allocation and acting in the clients best interest

Columbia, South Carolina Area

• Completed requests, data entry, and daily reports to keep thorough records• Performed clerical services including organizing representative’s work-related affairs, preparing ethics meetings, assigning tasks, and briefing Representatives on daily updates• Communicated policies and requirements to members of office and members of the community to ensure all procedures were executed with integrity

9Th Circuit Solicitor'S Office

• Acted as a resource for lawyers, detectives, and advocates to assist in cases• Practiced attention to detail to create legal case binders for high profile investigations, transcribe jail tapes, and organize evidence• Maintained extreme confidentiality to avoid risk exposure while protecting policies and regulations