Les Johnson

Experience

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  Securities Training Corporation

  Jan 1987 - Jan 1993

  Vice President

  Trained Account Executives on financial material needed to pass NYSE/NASD licensing examinations. In addition, managed and directed corporate computer operations for a $12 million training company. Trained account executive candidates for financial examinations (Series 7, 22, 6, 2, 52, 63 and 24). Topics included economics, options, market analysis, bonds, stocks and investment companies.

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  NatWest Markets

  Jan 1994 - Jan 1998

  Vice President

  Served as Deputy to the President and CEO of a top 20 "Wall Street" global capital markets firm. Responsibilities included: compliance and control, account coverage, monitoring institutional trading, and management of operations for sales and research.

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  Dresdner Kleinwort Wasserstein

  Jan 1998 - Jan 2002

  Vice President

  Served as senior compliance manager and operations administrator for capital markets division. Primary role was compliance officer on trading desk supervising and monitoring daily trade activity. Binary role as operations manager focusing on production and performance reporting, and daily management of operations for trading, sales and research.

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  TEKsystems

  Jan 2004 - Jan 2005

  Business Analyst

  Served as liaison between compliance and technology team defining, developing and implementing technology initiatives. Primary focus involved transition initiatives related to Bank of America’s acquisition of Fleet Bank (Quick & Reilly). Specific projects included: implementation of Electronic Supervision and Surveillance software (Actimize) monitoring daily trade activity. Additional projects included: Annual Branch Compliance Audits, Anti-Money Laundering Reporting, and Assentor E-Mail monitoring. Project design and implementation using Six Sigma methodology. Show less

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  Wells Fargo

  Jul 2005 - now

  Lead daily stand-ups and scrum ceremonies scrum team. Work with product owners to groom the backlog and plan sprints. Track, escalate and remove impediments. Report at daily Scrum of Scrum meetings. Track burn down, issues and progress in JIRA utilizing Agile SDLC standards. Work with component teams to resolve issues.• Implemented Issues Tracking in JIRA to effectively track impediments against user stories.• Navigate and work effectively across a complex organization that is geographically dispersed (Europe, Asia and West Coast).• Experience in managing complex technical projects, meeting target timelines, facilitating project team meetings, project documentation, issue resolution, and project resource identification.• Self-direct project outcomes, with minimal supervision, to achieve program goals in an Agile environment.• Excellent process design capability to improve overall efficiency, mitigate resource conflicts, and improve customer/client experience. Show less Senior tech relationship manager working as a liaison between LOB compliance officers and various technology groups to develop, design and maintain risk and compliance monitoring systems. Mentor junior B.A.s associated with various applications.• Systems supported Compliance and Supervisory Controls for Team Members, Gifts and Entertainment, International Travel, Research and Investment Banking Disclosure Systems, Licensing, EComm to mention a few. • Adept in SDLC and Agile methodologies as Enterprise standards• Expert in Microsoft Access which is used for ad hoc system development and prototyping systems. • Exposure to Semantic Technology, Ontology development and Actimize. Show less

  • Scrum Master - Vice President

    Jul 2020 - now

  • Senior Tech Relationship Manager - Vice President

    Jan 2010 - Jun 2020

  • Senior Compliance Manager - Vice President

    Jul 2005 - Dec 2009