Managing Director, Global Corporate and Investment Banking (CIB) COO, Market Conduct & Supervision, Wells Fargo
At Wells Fargo, Tanvi leads a team of professionals to design, build, implement and support supervisory controls for CIB including developing the supervisory framework. The team is responsible for controls related to conflicts of interests, unauthorized trading, suitability, best execution, fees and pricing, written supervisory procedures and associated governance and reporting. Prior to joining Wells Fargo in November 2022, Tanvi was at Bank of America for 7 years and most recently ran their E-trading and Research Business Controls teams. Prior to that she ran the Global Communications Surveillance Team. Before joining Bank of America in 2015, Tanvi held various roles at Citi including Global Head of AML Risk Assessments Metrics and Reporting and other Compliance leadership roles in Fixed Income Compliance. Prior to Citi, she was Merrill Lynch including roles in Business Selection & Conflicts and Surveillance. She started her career at JPMorganChase in Structured Credit Advisory. She has a B.S. in Computer Science from Columbia University and an M.B.A from Fordham University.
28-Jun-2023DebateDebate: Understanding Control implementation and maintenance