Jessica Smith

Director, Research Compliance @Wells Fargo

Execute successful compliance monitoring and risk assessment programs. Perform consistently with all quality objectives, including planning, control and optimization strategies. Contribute to large-scale risk assessment initiatives and promote improved business procedures and controls. Participate in roundtable groups to discuss regulatory expectations and keep abreast of industry standards. Facilitate communications between investment banking and equity investment research division to ensure compliance with regulatory requirements outlined in the Global Research Analyst Settlement and SRO rules. • Collaborate and counsel Equity, Fixed Income, Municipals, Structured Products, FX, Rates, and Economics disciplines, as well as to other department around the Firm such as Investment Banking, Risk Management and communications staff regarding research related matters. • Create and implement training programs and policies and practices in connection with Global Research Analyst Settlement, Sarbanes-Oxley, Dodd-Frank, MiFID II, Toys R Us Settlement and all applicable rules, regulations and internal policies/risk assessments. • Create policies, procedures and programs, and serve as the Chief Compliance Officer for an investment advisor called Structured Asset Investors, LLC for the research department to accept hard dollar payments.