Nicole Gallo is the Chief Compliance Officer and AML Compliance Officer for Wells Fargo Funds Distributor, LLC, which supports the distribution, marketing, and sales of Wells Fargo Funds®. She provides distribution compliance assistance for Wells Fargo Asset Management Luxembourg as well as the UCITS, AIFs, and medium term notes. In addition, she is the CCO for Global Alternative Investment Services, Inc. which supports the distribution of private and registered funds managed by Wells Fargo Investment Institute, Inc. and certain third-party managed funds.
Ms. Gallo joined Wells Fargo (and its predecessors) in 2003 as Wachovia’s senior audit manager over the Asset Management lines of business. She later served as a compliance manager for Evergreen Investments. She worked on investment advisor oversight, sub-advisory mutual fund processes, and assisted in the implementation and execution of the 206(4)-7 program.
Previously, Ms. Gallo was a senior audit manager with Bank of America specializing in their asset management and trust processes and products. Prior to that she was an audit project leader focusing on Private Bank and Institutional Trust with Central Carolina Bank and Fleet Bank. She began her career at Fleet Bank in the internal audit department.
Ms. Gallo earned a bachelor’s degree in accounting from Bryant University. She is a Certified Internal Auditor and holds FINRA Series 7, 24, and 63 licenses.