1. ROBERT A. JOHNSON
Minneapolis, Minnesota
651.760.3863(H)
612.396.3491(C)
johnsonbob4@gmail.com
QUALIFICATIONS
J.D. and M.B.A. with diversified professional experience, including fifteen years of regulatory compliance
experience, six years of branch audit experience, nine years of AML/BSA (Anti-Money Laundering/Bank
Secrecy Act), OFAC (Office of Foreign Assets Control), and CIP (Customer Identification Program)
experience, and two years of extensive legal research and writing. Experienced in drafting, reviewing,
interpreting, and negotiating contracts and agreements. Dependable, innovative, team player with
excellent oral and written communication skills. Series 7, CAMS, CFE, CRCM.
2010 to
Present
Wells Fargo, Minneapolis, Minnesota
Diversified financial services company.
Compliance Consultant: Responsible for BSA/AML and OFAC compliance efforts
supporting Institutional Retirement and Trust, Trust Operations, Global Financial
Institutions, and Wealth Brokerage Services.
 Worked with BSA/AML management to develop, implement, and maintain department
policies and procedures related to BSA/AML, OFAC, and FCPA.
 Completed risk reviews for enhanced due diligence high risk customers.
 Identified operational risk and compliance issues.
 Advised management on risk ratings and evaluated risk ratings against established
policy standards.
 Coordinated production of periodic performance reports for senior management,
including trend analysis and recommendations.
 Completed and responded to risk assessments.
 Reviewed and analyzed BSA/CIP and OFAC documentation for new accounts.
 Responsible for oversight and ongoing reviews of system scrubs performed for OFAC
and 314(a) compliance.
 Monitored, researched, and reported unusual activity related to potential money
laundering and other suspicious activity.
 Developed compliance training and educational materials.
1998 to
2009
Robert W. Baird & Co. Incorporated, Milwaukee, Wisconsin
Financial services firm.
2004 to
2009
AML Compliance Officer – Vice President: Responsible for developing and monitoring
AML, CIP, and OFAC policies and procedures for five different business lines.
 Monitored business activity by reviewing over 25 AML reports and edits.
 Uncovered over $25 billion in suspicious activity through AML program.
 Developed and invented five AML compliance reports to reduce firm risk and
effectively comply with regulations.
 Responded effectively to regulators and regulatory inquiries with outstanding results.
 Officer of Baird Funds, Inc. responsible for reviewing AML procedures for mutual
funds with an asset value of $1.9 billion.
 Established AML Reliance Agreements with over 300 investment advisors on behalf
of the firm.

2.  Reviewed and approved AML Certifications and Selling Agreements with over 200
investment advisors, mutual funds, and insurance companies on behalf of multiple
business lines.
 Implemented and developed AML educational programs for the firm at a cost savings
of $40,000 per year.
 Coordinated and successfully managed firm’s Foreign Account program by opening
and monitoring over 1000 accounts.
 Conducted due diligence on high risk accounts.
 Served as 314(a) and 314(b) FinCEN (Financial Crimes Enforcement Network)
contact.
2000 to
2004
Compliance Officer – Vice President: Responsible for oversight of Baird’s full-service
Financial Advisors, including the review of daily trading activity using Beta system.
 Audited Baird Branch Offices by successfully reducing levels of risk while building
strong working relationships with Branch Managers, Financial Advisors, and
individuals at the Home Office.
 Reviewed appropriateness of account transactions for 300,000 retail accounts
assigned to 60 Branch Offices by reviewing reports and edits.
 Trained and informed Financial Advisors of compliance rules and regulations.
 Oversaw annuity and insurance business.
 Dealt effectively with regulators.
1998 to
2000
NML/Baird Compliance Officer – Assistant Vice President: Responsible for
compliance oversight of Northwestern Mutual Life agents conducting financial transactions
as Baird Registered Representatives.
 Audited OSJ (Office of Supervisory Jurisdiction), Satellite, and Detached Office
locations by successfully reducing levels of risk while building strong working
relationships with Registered Representatives and the Home Office at Northwestern
Mutual Life.
 Oversaw mutual fund transactions.
 Reviewed and approved advertising, marketing, and correspondence materials.
 Responded to and reviewed regulatory inquiries.
1996 to
1997
Vlasak, Britton & Konkel, S.C., Milwaukee, Wisconsin
Insurance defense law firm.
Associate Attorney: Responsible for managing caseload, conducting legal research,
and making court appearances.
 Reviewed and investigated facts.
 Drafted legal documents.
 Evaluated and prepared cases for court and administrative hearings.
 Negotiated with other counsel.
1994 to
1996
Milwaukee County Circuit Court, Milwaukee, Wisconsin
Circuit court system.
Legal Research Assistant (Law Clerk): Responsible for conducting legal research and
managing juries.
 Conducted legal and legislative research.
 Completed recommendations for hundreds of cases for several judges with an
overwhelming rate of acceptance.

3.  Assisted and answered questions from jurors.
 Supervised two student interns from Marquette University Law School.
Education: J.D., University of Wisconsin-Madison
M.B.A., University of Wisconsin-Madison
B.S., University of Wisconsin-Oshkosh, Summa Cum Laude
Licenses and
Certifications:
 CAMS (Certified Anti-Money Laundering Specialist).
 CRCM (Certified Regulatory Compliance Manager).
 CFE (Certified Fraud Examiner).
 Wells Fargo AML/Sanctions Credentials Program (In Process)
 Admitted to Wisconsin Bar, Eastern and Western United States District Courts
of Wisconsin, and U.S. Court of Appeals for the Seventh District.
 Series 7 (previously passed Series 8, 24, 63, and 65).
 Insurance licensed for Life and Health.
Professional
Organizations:
 ACAMS (Association of Certified Anti-Money Laundering Specialists).
 ACFE (Association of Certified Fraud Examiners).
 State Bar of Wisconsin.
 American Bar Association.
 American Bankers Association.
 Member of Deloitte AML Strategic Leadership Group.