Angelina McCall

Experience

• 

  BANC OF AMERICA INVESTMENT SERVICES INC

  Jan 2001 - Sept 2004

  • Reviewed and signed off on the following daily compliance reports: OFAC, Large Margin Debit, Options Exercise, Customer Information Protection (CIP), and Electronic Trading Blotters.• Managed and prepared written responses to escalated customer complaints. • Reviewed and approved Internet equity and derivative trades for restricted accounts/high risk clients to prevent and detect NASD or SEC violations in order to mitigate risk exposure.• Interacted closely with clearing firm/trading floors to assure accuracy of order execution and communicated technical issues and customer suggestions to clearing firm.• Coached and developed team of Trading associates. • Assisted high net worth clients with executing bond, option, equity, and mutual fund trades over the phone using proprietary execution platform. • Collaborated with sales and banking partners to support the clients’ financial needs and interests.

  • Risk Management Analyst

    Mar 2003 - Sept 2004

  • Internet Trading Desk Manager

    Jan 2002 - Mar 2003

  • Investment Specialist

    Jan 2001 - Jun 2002
• 

  Evergreen Investments

  Sept 2004 - Oct 2005

  Officer, Risk Analyst

  • Created risk reporting for senior management and presented at the monthly Risk Management Committee meeting. • Enhanced policies or procedures to increase efficiency of operations and improve safeguards over assets.Key Achievements: Hero Award Recipient 2004- instrumental in developing compliance controls that help pass audit; nominated by Evergreen CEO as a member of Evergreen Investments Diversity Committee.

• 

  Bank of America

  Oct 2005 - Oct 2010

  Vice President, Compliance Manager, Global Equity Aggregation

  • Translated data and analysis into actionable reports delivered to senior management.• Collaborated with line of business Compliance, Technology, Risk and Legal partners to effectively manage equity ownership issues, ensure compliance with regulatory reporting requirements, mitigate the bank’s exposure in global and domestic equity markets, and prepare and file all required disclosures as a result of the bank’s (and its operating subsidiaries within GWIM, GCIB, Corporate Investments, Private Equity, Private Bank, etc.) equity ownership levels.• Managed the strategic integration initiatives for the Global Equity Aggregation Team for the Merrill Lynch acquisition; applied technical and regulatory knowledge to identify control deficiencies and recommend remediation plans to address deficiencies and enhance control and process design; consulted with Legal and Technology to achieve optimal control platform for data aggregation reporting across the enterprise.• Served as technology liaison and proactively generated innovative strategies which improved technology control efficiencies.• Prepared monthly and quarterly management reports for the Equity Risk Control Workgroup, Senior Management and Risk Executives, which were used for data and trend analysis.Key Achievements: Recognized by senior management for assistance with audit and management reports, developed Market Timers Due Diligence List for enterprise-wide usage; re-designed process for drafting and filing Bank of America Corporation’s Form 13F with the Securities and Exchange Commission, which vastly improved accuracy and cut preparation time by 50%; and Bank of America Spirit Medallion recipient. Show less

• 

  Wells Fargo

  Oct 2010 - now

  • Manage a specialized team responsible for executing Volcker Rule risk-based control testing and issue validation engagements for the Corporate Investment Banking, Commercial Real Estate, Commercial Banking, and Enterprise Functions lines of business providing an independent and holistic assessment of the effectiveness of risk-mitigating activities, internal control environment, and adherence to regulatory and internal policy requirements.• Provide regulatory compliance subject matter expertise, credible challenge, and best practices guidance on internal control environment, risk-mitigating activities, and issue management, including expert-level understanding of internal policies and procedures governing those activities. • Assist in the development of the annual testing plan and ongoing resource management.• Engage with senior business leaders, control executive teams, independent risk management, and audit to build and maintain effective partnerships and promote the development of stronger risk management practices. • Provide ongoing coaching and development to a virtual team of managers, leads, and testers (at all levels) offering frequent, formative, and timely feedback; deliver mid-year and year-end performance evaluations; identify specific performance gaps and development needs, and create individual performance plans, as needed, to ensure individuals are meeting MBO expectations; and develop and deliver cross-team targeted training and awareness activities, including creating internal forms/templates for team-wide use to promote comprehensive and consistent execution of testing and validation activities. • Contribute to cross-enterprise initiatives and projects and facilitate monthly leadership meetings with the broader management team, and engage with Senior Leaders/Directors to discuss and provide strategic input on challenges and opportunities that directly impact the overall team function. Show less • Managed a high performing testing team responsible for planning, executing, and reporting control testing and issue validation activities for Wells Fargo Securities, Corporate Banking, and Government and Institutional Banking lines of business. • Provided ongoing oversight, guidance, and credible challenge of documentation, reporting, and issue management/escalation relating to review activities in accordance with RCRM Procedures, Wholesale requirements, CRAS+ Standards, and overall industry best practices. • Assisted in the development of the annual testing plan and resource management.• Ensured comprehensive coverage, consistency in execution, and maintenance of a current testing schedule, including supervision and input in scoping and results reporting and resource management. • Established and maintained strong relationships with the team, management, and various support partners through effective communication and representation of the overall Wells Fargo vision and values.• Supported management through coordination of testing related initiatives and special projects, including the implementation of new testing requirements and issue identification and remediation. Show less • Executed and led regulatory compliance risk testing coverage for highly complex International Group lines of business and international branch offices and representative offices to ensure compliance with US and local BSA/AML/OFAC laws and regulations. • Partnered with senior business leaders in the US and non-US branches and representative offices to provide compliance risk consultation and expertise. • Designed, developed, and executed testing strategies and methodologies in accordance with Corporate Regulatory Compliance Policy and Procedures. • Created and delivered reports summarizing the results of testing activities to senior leadership and support partners. Show less • Enhanced and executed the Supervisory Controls and Regulatory Testing program through the design and development of testing strategies and an evaluation of the adequacy and effectiveness of policies, procedures, processes, systems, and internal controls.• Created and delivered reporting of findings (orally and in written form) to key stakeholders and worked closely with Business Unit Compliance Officers to develop corrective action plans and effectively manage change.• Served as liaison with internal audit, legal, and external regulators and assisted with regulatory exam preparations.• Designated Books and Records subject matter expert responsible for developing a compliance program to help WFS ensure compliance with regulatory provisions and a system to establish best practices to better manage changes. Show less • Facilitated annual required compliance training, new hire training, and Supervisory Principal training; worked with legal and other support partners to prepare the training content and supplemental materials. • Exhibited cross-functional regulatory compliance knowledge and a deep understanding of the regulatory framework to effectively promote, encourage, and support front-line adherence to compliance requirements. • Assisted with developing, implementing and monitoring a risk-based compliance program to assure compliance with regulatory requirements (broker-dealer bank regulatory) and firm policies and procedures for the ABF business. • Worked with investment banking teams to review and analyze documentation, including Structured Products Transaction Review Templates, Compliance Certifications, and Regulation W Section 23A Capital Request forms, for ABF transactions. • Participated in new product offering meetings to provide Compliance input on the impact of the new product or activity on the existing control and regulatory environment.• Assisted with regulatory exams and internal audits; prepared and gathered documentation to effectively respond to regulatory inquiries; provided compliance support for the identification and remedy of regulatory compliance issues; conducted on-site branch office reviews. 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  • Director, Senior Lead Business Control Officer

    Jan 2022 - now

  • Senior Vice President, Enterprise Testing Senior Manager

    Mar 2018 - Jun 2022

  • Vice President, Compliance Manager, Wholesale Banking Testing & Validation, Wells Fargo Securities

    Apr 2014 - Mar 2018

  • Vice President, Compliance Consultant, International Group

    Apr 2013 - Apr 2014

  • Vice President, Compliance Consultant, Wells Fargo Securities

    Feb 2012 - Apr 2013

  • Vice President, Compliance Consultant, Asset Backed Finance and Securitization

    Oct 2010 - Feb 2012