Michael Phliponeau
Non-financial Regulatory Reporting, VP @Wells Fargo
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WORK HISTORY
Non-financial Regulatory Reporting, VP @Wells Fargo
Charlotte, NC, US
EDUCATION
Coastal Carolina University
Bachelor’s Degree, International Business
SKILLS
ABOUT MICHAEL PHLIPONEAU
Capital markets and derivatives operations professional with 6+ years of experience within a top-tier investment bank. I specialize in Interest Rate Swaps and derivatives lifecycle management, with a strong track record improving reporting accuracy, operational controls, and audit readiness.Most recently, I’ve led remediation efforts for SDR reporting breaks, guided root-cause analyses, and partnered with Technology and Compliance to enhance reporting logic and reference data mapping. I’ve served as a subject matter expert during regulatory exams and internal audits, supporting compliance with CFTC, SEC, CAD, and Dodd-Frank frameworks.Earlier in my career, I supported derivatives confirmations, spearheaded trade capture system implementations, and validated complex trade terms to mitigate operational and financial risk.I’m FINRA-licensed (SIE, Series 99) and motivated by roles that blend market knowledge, regulatory compliance, data quality, and cross-functional problem solving.
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