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Ellen Smith

Investment Risk Oversight Officer at Wells Fargo

Ellen Smith is currently serving as the Investment Risk Officer at Wells Fargo, where she plays a critical role in overseeing risk management related to investment activities. She is recognized as a subject matter expert on Broker Dealer products and acts as a liaison to the Client Relationship Group within the bank's Fiduciary and Investment Risk Oversight team. Her responsibilities include ensuring compliance with regulatory standards and mitigating risks associated with investment products.3

Smith has a background in risk analysis and has previously held positions that involved significant responsibilities in investment oversight. She is known for her analytical skills and expertise in risk management practices, contributing to Wells Fargo's efforts to enhance its governance and risk management frameworks.4

Her professional journey includes experience with various organizations, and she has been instrumental in developing strategies that align with industry best practices in risk management.12

Highlights

[PDF] ELLEN SMITH - SEC.gov
[PDF] ELLEN SMITH - finra
Nov 19 · seactuary.com
[PDF] November 19th, 2020 Ellen Smith Mike Callahan Sean Meng
Aug 21 · garp.org
Wells Fargo Builds Out a Team of CROs - GARP

Related Questions

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Ellen Smith
Ellen Smith, photo 1
Ellen Smith, photo 2
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Location

Charlotte Metro