Panel Moderator / Managing Director
- Company:Oyster Consulting, LLC
- Short Bio: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.
Sessions
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March 9, 2021, 15:15
Session 2
March 9th:
Regulatory Interchange Webinar featuring FINRA -
March 9, 2021, 14:00
Session 1
March 9th:
Regulatory Interchange Webinar featuring FINRA -
May 23, 2017, 09:45
General Session 2: SEC and FINRA Examination Priorities for 2017 (OPEN)