Head of compliance for the following Bank of America/Merrill Lynch Global Wealth and Investment Management business units; U.S. Trust, Merrill Lynch Credit Corporation and Banking & Merrill Edge. Manage team of more than 25 compliance professionals throughout the United States and abroad. Provide day-to-day compliance advice and guidance to multiple lines of business. Coordinate all regualtory examinations and maintain comprehensive risk assessment program to help mitigate the inherent risks associated with regulatory compliance.
U.S. Trust, Bank of America Private Wealth Management, provides investment management, planned giving, and fiduciary services to a range of institutional clients, including not-for-profit organizations, corporations, public funds, insurance companies, and unions. The company provides wealth management services that include investment, financial, tax, and estate planning; and private banking services. Its planned giving services include administration, tax preparation, and record-keeping. It also offers investment consulting, tax-intelligent investment management, custody and private-label statement, and check distribution services. U.S. Trust also provides investment management, trustee, and fiduciary consulting services to employee benefit plans of all sizes. It serves as a fiduciary for qualified retirement plans, including 401(k) plans; employee stock ownership plans (ESOPs); and defined benefit plans that invest in blocks of employer securities. In addition, in its fiduciary role, the company makes investment decisions; and acts as an independent trustee protecting the interests of plan beneficiaries.