MaryBeth Findlay
Head of Commercial Banking and Enterprise Functions Compliance, Wells Fargo & Company
MaryBeth Findlay is the head of Commercial Banking Compliance and Enterprise Functions Compliance.
She is responsible for overseeing the implementation and execution of the compliance program across Commercial Banking, and the following Enterprise Functions: Chief Operating Office; Corporate Risk; Finance; Human Resources, Internal Audit; Public Affairs; Legal and Technology.
MaryBeth joined Wells Fargo in September 2023. Previously she was managing director and global head of Markets Compliance for Barclay’s Capital, Inc. Prior to that, Mary Beth was the chief compliance officer for Credit Suisse Securities USA, LLC. She has more than 20 years industry experience at other global investment banks including Bear Stearns, Goldman Sachs and Nomura Financial.
MaryBeth earned her undergraduate degree from Fordham University and currently serves on the SIFMA Compliance & Legal Society Executive Committee. She has served previously on the following Financial Industry Regulatory Authority (FINRA) committees: Market Regulation, Fixed Income, and Large Firm Advisory.