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David Devine

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Chief Risk Officer (CRO)
Marine on Saint Croix, Minnesota, United States

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Résumé


Jobs verified_user 0% verified
  • Alpaca
    Chief Risk Officer (CRO)
    Alpaca
    Sep 2021 - Current (5 years 1 month)
    Chief Risk Officer for Alpaca Securities
  • Wells Fargo Securities
    Vice President, Director
    Wells Fargo Securities
    May 2015 - Oct 2021 (6 years 6 months)
  • U
    Sr Risk Manager
    US Banccorp
    Sep 2013 - May 2015 (1 year 9 months)
    Senior Risk Manager supporting Wealth Brokerage
  • Wells Fargo
    VP Operations
    Wells Fargo
    Jul 2006 - Mar 2013 (6 years 9 months)
    Manage staff in excess of 85 employees. Responsible for daily production, operational risk and financial performance over core operations functions in the Margin, Stock Loan, Regulatory, Stock Record and Account Transfers Teams.
    • Successfully transitioned operational teams for Wells Fargo Investments into the Wells Fargo Advisors platforms over the past two years by identifying gaps, prioritizing and managing projects to avoid breaks in service and functionality to our client base of 1.6 million accounts.
    • Established and staffed the middle office support model for on-line and Broker Direct client base including the creation of policies and procedures that insured compliance and standardization to support 500,000 on-line client
  • US Bank
    AVP Operations
    US Bank
    Sep 1997 - Jun 2006 (8 years 10 months)
    Directed the financial and operational functions for the Account Services, Audit and Distribution (i.e. confirms, proxy and client letters) Teams while working with the Compliance, Annuity and Mutual Fund teams to minimize risk to US Bancorp Investments.
    • Initiated and partnered with internal project team and vendors to outsource all printing functions (i.e. confirms, statements and “Books and Records” notifications) generating an annual savings of $250,000.
    • Worked with external product partners and vendors to rebuild our flow of documentation and move to a paperless environment.
    • Managed a staff of three direct reports and 33 staff that established accounts, performed initial compliance review, maintained client accounts
  • American Express
    FA Assistant
    American Express
    Nov 1996 - Jun 1997 (8 months)
Education verified_user 0% verified
  • UMN Carlson School of Management
    BA, Finance
    UMN Carlson School of Management
    Jan 1992 - Jan 1997 (5 years 1 month)
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