Thomas Bitcon

Background

About Thomas Bitcon

Capital Markets Compliance Manager with 24 years financial services experience. I serve as the liaison between various WFS compliance segments (CCI and GRC) and the Swap Dealer (SD) as well as its associated asset classes (IRM, FX, CDS, Commodities, Muni's, and Equities). I review and coordinate corporate requirements into existing compliance programs. I am responsible for preparing SD Compliance to meet the ongoing and ever changing Regulatory and Corporate requirements. I perform gap analysis of the SD Compliance and Supervisory program, including: the review, draft and editing of written supervisory procedures, the design of new management escalation reports, oversee the review of compliance processes (monitoring and surveillance activities) and, recommend improvements. I lead projects and participate in testing. I act as the SD Compliance contact on large LOB and Corporate Projects. I analyze the applicability and impact of new regulations and policies on the SD LOB. I assist in planning and preparation for exams and audits. I am involved with the review and documentation of Major Compliance Requirements (MCRs) associated with the Swap Dealer. I developed and maintain a "Rules Matrix" incorporating all the applicable CFTC/CEA rules associated with the Swap Dealer and applied a detective/preventative control for each. • Established & Extensive Well Fargo Business Partner Relationships • Large Scope Project Management • Staff Development & Career Planning • Policy & Procedure Writing & Interpretation • Problem Identification & Resolution • Curriculum Development & Training • Financial Industry Knowledge Currently hold the following licenses: Series 3, 4, 7, 8 (9 & 10), 24, 63, 66, NC Life & Health Insurance