Katy Soudmand

About Katy Soudmand

I am a senior legal, risk, and compliance executive with over 20 years of experience partnering with C-suite leadership and boards to scale complex credit, securitization, and structured finance businesses in highly regulated environments.My background spans private credit, asset-backed finance, CLOs, CRE-CLOs, CMBS, RMBS, fund finance, and cross-border structured transactions across global platforms. I specialize in enabling growth while protecting franchise value—bridging front-office objectives with regulatory, reputational, and enterprise risk considerations.I am known for a highly collaborative leadership style, working closely with investment, credit, legal, operations, treasury, and technology teams to design practical, scalable solutions. I lead teams to operate as strategic advisors, not gatekeepers.I bring a track record of building and optimizing enterprise risk and compliance frameworks that support innovation, improve execution speed, and withstand regulatory scrutiny—allowing organizations to grow confidently through market cycles.Core Focus Areas:• Private Credit & Structured Finance• Enterprise Risk & Regulatory Strategy• Board & C-Suite Advisory• Cross-Functional Leadership• Complex Transaction Governance, • Bar Admission: New York | Memberships: ISDA, SIFMA, LSTA, CREFC, SFIG, WIND• Wells Fargo Women’s Network, Pride Connection Ally, Middle East Connection, and Mentor : ADA | ADCON | Anticompetitive Behavior | Bank Holding Company Act | Broker Dealer | CAN-SPAM | CFTC | Community Reinvestment Act | CSFT | Equal Credit Opportunity Act | FCRA | FDIC | FFIEC | FINRA | Flood Disaster Protection Act | FRB | Home Mortgage Disclosure Act | OCC | Pay to Play Rules | Personal Investments Policy | Personal Trading | Qualified Financial Contracts | Reg (AB, B, D, DD, F, GG, K, O, P, RR, U, W, Y)| Registrations Licenses | RFP | SCRA | SEC | Swap Dealer | TCPA | UDAP | Unclaimed Property | Volcker: Fluent in English, French, and Persian | Knowledge of Spanish

Experience

1. Key Achievements

   Wells Fargo

   Aug 2020 — Present

   Advised enterprise Treasury on funding initiatives exceeding $5B, including RMBS and Credit Card receivables securitization, acting as a subject matter expert and securing C-Suite and Board sponsorship.• Led the RCSA optimization reducing discrepancies by 21% across risk• Reduced audits, exams and regulatory scrutiny by 52%• Developed a standardized Integrated Risk Management (IRM) reporting framework for compliance program elements, expediting the identification of frontline action items by 47.2%• Streamlined the compliance program structure, increasing efficiency and reducing staff by 25%• Contributed insights to the design of Salesforce and nCINO platforms to ensure regulatory compliance functionalities, particularly for key regulations such as Reg O, Reg W, QFC, and ECOA.• Implemented new compliance protocols in response to Dodd-Frank regulations, including Rule 17G-5, Regulation AB updates, Credit Risk Retention Rules, QFCs and Volcker regulations, with a focus on ABS-specific requirements, and guided Senior Risk Officers on the implementation of several regulatory risk program build-outs identifying gaps and program enhancements.• Initiated a regulatory review resulting in the recalibration of risk rating methodology 1K+ rules overall, reducing the regulatory risk profile.• Represented Wells Fargo in the government-sponsored Term Asset-Backed Securities Loan Facility (TALF) program, devising and executing a compliance program to identify, assess, and mitigate compliance risks, particularly conflicts of interest.• Advised Strategic Enterprise Risk Management (SERM) on the build-out of securitization oversight programs and governance frameworks for Complex Structured Finance Transactions, contributing as an IRM advisor and subject matter expert.

Education

• University of Geneva

  Law Degrewe, en droit

  1995

• University of Geneva

  Masters, International Private Law; International Commercial Transactions

  1999

• New York University School of Law

  LL.M, Corporate Law

  2000

Skills

• Structured Finance
• Securities
• Derivatives
• Isda
• Structured Products
• Securities Regulation
• Credit Derivatives
• Cross-Border Transactions
• Securitization
• Fixed Income
• Abs
• Financial Structuring
• Corporate Law
• Capital Markets
• Mergers & Acquisitions
• Hedge Funds
• Equities
• Investments