Abe Dababnah
Compliance Director at Wells Fargo
Based in Charlotte, United States
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Seniority
Director
Department
Legal
Location
Charlotte
Industry
Financial Services
Company size
239K
Contact information
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a•••••••@wellsfargo.com
Phone
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Background
About Abe Dababnah
Experienced compliance and risk management officer with over 20 years in financial services and investments. Extensive background in banking and broker-dealer regulatory compliance, with proven success advising organizations on effective compliance, risk prevention, and control frameworks. Deep knowledge of regulatory guidelines (OCC, FRB, FINRA, MSRB, SEC) with expertise in banking & securities compliance, capital markets, structured and complex products, policy and procedure, and sales supervision.Well-versed in key compliance and industry regulations including the Volcker Rule, Bank Holding Company Act, Regulations Y/B/K/O/W, Dodd-Frank, 1933/1934 Exchange Acts, Flood Disaster Protection Act (FDPA), Bank Secrecy Act, Material Non-Public Information & Privacy, Community Reinvestment Act, and Fair Lending.AREAS OF EXPERTISE: Regulatory Compliance • Risk Management • Banking & Insurance Regulations • Risk Control Frameworks • Broker-Dealer & Investment Advisory • Financial Crimes (AML / KYC) • Policies & Procedures • Issue Remediation • Risk Monitoring & Surveillance • Executive & Training Presentations • Diversity & Inclusion • Compliance Reporting
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