Tom Flood

Tom Flood has extensive experience in risk management within the financial services sector, currently serving as Vice President at Union Bank since December 2022, where responsibilities include overseeing Capital Market’s risk monitoring and controls program. Prior to this role, Tom held the same position at MUFG Union Bank from May 2018 to November 2022, focusing on regulatory compliance and risk identification. Tom also worked at Wells Fargo Advisors as Branch Liaison in 2018, facilitating compliance and investment functions, and at Charles Schwab from 1999 to 2017 in various roles that included managing operational controls, risk analysis, and client trust account administration. Tom holds an Accredited Portfolio Management Advisor℠ designation from the College for Financial Planning and is pursuing additional education at the Gemological Institute of America.