Wells Fargo Advisors has appointed Robert Mooney as chief compliance officer for wealth, brokerage and retirement business group.
In his new role, Mooney will oversee a 500-person team that manages policies, procedures and systems to keep the company in compliance with industry rules and laws, reported Reuters.
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Additionally, he will also be responsible for the oversight of compliance issues at Wells Fargo Advisors.
Wells Fargo’s Wealth, Brokerage and Retirement Business group will provide services such as private banking for high net worth clients.
Mooney has served as chief compliance officer of Wells Fargo Advisors since 2008. He has worked at Wells Fargo for 22 years. Prior to this, he has held roles at the US Attorney for the Southern District of New York and the Us Securities and Exchange Commission’s enforcement division.
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