University of Phoenix

Corporate Risk Wells Fargo

Remediation Lead for Customer Remediations within Wealth Client Services and Private Wealth Services.

Wells Fargo

Business Risk and Control SR Assoc

*Administered key aspects of Wells Fargo's Compliance Program, including development and maintenance of compliance policies and procedures, compliance risk assessments, compliance monitoring and testing.

*Assisted with the creation of the Operational Risk and Compliance Escalation Standards by providing a Sales Practices expertise to the effort.

*Organized work streams related to Communication, Governance, Customer Harm, Reporting, Performance Management, Incentive Compensation, Escalation, and Complaints and Allegations.

*Helped drive sales practices efforts related to OCC requirements.

Conduct Risk Senior Consultant - Corporate Risk

*Managed over 100 million in assets.

*Trained and obtained Series 7, 66, Life &amp; Health licenses. Provided consultative financial planning to individuals and couples by creating and presenting individualized financial plans and implementing solutions with a focus on risk management.

*Identified, acquired and retained new clients through seminars, networking, and online training.

*Worked with Compliance and Regulatory specialists to maintain FINRA and SEC guidelines.

Wells Fargo Advisors

Financial Advisor

*Supported Market Makers with option position resolution and trade verification through specialized reports and trade sheets.

*Verified stock trade orders during market hours for hedge positions within Instinet and other OTC trading programs. Provided real time confirmations of stock trade for market makers and broker hedge activities.

*Market maker training program with Bear Sterns.

Thomas Luce