March 9th:Regulatory Interchange Webinar featuring FINRA

Registration Type	Price
Members	Free
Non-Members	$100

FINRA
Mr. Burkett began his securities industry career in 1993 as a Securities Fraud Investigator for the State of Arizona Securities Division, working exclusively on fraud cases involving broker-dealers. Later, at a FINRA member firm, he was responsible for supervising Producing Branch Managers and Field Representatives as the Field Compliance Director. Throughout his tenure with FINRA, Mr. Burkett has held positions ranging from Compliance Examiner, responsible for examining FINRA member firms for general compliance, to District Director, responsible for the management and oversight of the regulatory programs within the Denver and Seattle district offices. In addition to his regulatory responsibilities, Mr. Burkett earned his Certified Regulatory and Compliance Professional designation through the FINRA Institute at Wharton in March of 2005, and has developed content and presented at several FINRA Institute class offerings.

FINRA
Andrew McElduff is Senior Director and Single Point of Accountability (SPOA) of Risk Monitoring within the Retail Firm Group for FINRA’s Member Supervision Department. In his role, Andrew oversees three Risk Monitoring teams responsible for monitoring and assessing risk across the Retail - Private Placement and Retail – Pooled Investment & Variable Annuity firms. Andrew is also responsible for, and partners with the Examination program leaders, determining the annual exam plan and the appropriate scope of each exam within the Private Placement and Pooled Investment & Variable Annuity firms. Prior to his role in Risk Monitoring, Andrew oversaw Examination teams in FINRA’s New York office. Those teams were responsible for conducting the cycle, branch, and cause examinations of member firms across all firm sizes and business lines. Andrew joined FINRA in September 2007 after working at a startup handling day to day operations and managing a national sales team. Andrew is a graduate of the University of North Carolina at Chapel Hill.

FINRA
Thomas Mellett – Mr. Mellett is the Head of Capital Markets Examinations for FINRA’s Member Supervision department. From his base in FINRA’s San Francisco office, Mr. Mellett is responsible for oversight of the national examination program for FIRNA members that are primarily engaged in Capital Markets business activities, including Institutional Private Placements, Investment Banking, Mergers & Acquisitions, Product Origination & Wholesaling, and Public Finance, among others. Prior to this role, Mr. Mellett was the District Director of FIRNA’s San Francisco District Office, where he was responsible for the office’s examination and risk monitoring programs. From 2013 to 2015, Mr. Mellett was the Surveillance Director of FINRA’s Denver and Seattle District Offices, where he supervised regulatory coordinators who planed examinations and conducted risk monitoring of member firms. From 2010 through 2012, Mr. Mellett was an Examination Manager in San Francisco, where he responsible for supervising routine examinations of member firms. He transitioned into management after working as an examiner in the New York District Office, where he contributed to many high-profile and complex investigations. Mr. Mellett is designated as a Certified Regulatory and Compliance Professional (CRCP) through the FINRA Institute. Mr. Mellett holds a bachelor’s degree in finance from Bentley University.

FINRA
Erin C. Vocke is Vice President, Firm Group Examinations located in the New Orleans Office. Ms. Vocke began her career in 1995 as an examiner in the New Orleans District Office. During this time, she conducted routine and cause examinations of member firms and focused examinations in the areas of variable products and mutual funds. Ms. Vocke became Supervisor of Examiners and relocated to the Florida Office. She assumed responsibilities for supervising Continuing Membership Applications and financial surveillance of member firms, in addition to routine and cause examinations. Ms. Vocke was promoted to Associate District Director of the Dallas Office and assumed responsibility of overseeing the District cycle, cause, financial surveillance and Membership Application Programs. She served as the District Director of the Dallas District Office for approximately five years and the District Director for both the Dallas and New Orleans District Offices for approximately six years. In her new role, she will be responsible for examinations of retail member firms across Member Supervision.

Oyster Consulting, LLC
I am a Managing Director with Oyster Consulting where I provide compliance and risk management solutions for firms in the financial services industry including broker/dealers, registered investment advisors and investment funds. My background includes 22 years of regulatory risk management and compliance leadership with FINRA. I was most recently SVP and Midwest Regional Director. I have a deep understanding of Federal Securities Laws and the rules of self-regulatory organizations. I am known for strategic thinking and delivering high quality results. I am innovative and quickly stood up programs that optimized systems and processes for identifying and investigating compliance, AML, fraud and financial crime related risks. I also have experience with cyber security and digital assets related risks. I am a Certified Regulatory and Compliance Professional, Certified Fraud Examiner, and Certified Anti-Money Laundering Specialist. I am registered with the Series 7, 24, 63 and 79 registrations.

March 9th:
Regulatory Interchange Webinar featuring FINRA