Brock Williamson
Executive Director, Regulatory Relations @Wells Fargo
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WORK HISTORY
Executive Director, Regulatory Relations @Wells Fargo
Des Moines, IA, US
EDUCATION
University of Nebraska-Lincoln
Bachelors, Political Science and International Affairs
The Wharton School
CRCP, FINRA Institute at the Wharton School
University of Nebraska College of Law
JD, Law
ABOUT BROCK WILLIAMSON
Over 20 years of brokerage industry experience, including leadership roles in Compliance, Risk Management, Margin and Regulatory Relations. My contributions are enhanced by legal education and I am deeply experienced in analyzing, researching and problem-solving complex broker-dealer issues, applying both FINRA and SEC regulations. I have extensive examples of leading multiple teams of varying sizes and responsibilities in both Compliance and Risk Management related roles. I have designed and implemented internal policies, procedures and written supervisory procedures (WSPs) for diverse operational, retail, and compliance departments. The part of my recent job I like the most is the relationship with the regulators resulting in my turning transparency in to trust and using the knowledge of that relationship to tell the best story for my company.I welcome contact via E-mail at b••••••••@yahoo.com
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