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

• 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)