Ann M. Griffith, Esq.
Associate Director

Ann joined Oyster Consulting as an Associate Director in May 2011.  She brings with her 20 years securities industry and regulatory experience involving investment adviser and mutual fund experience coupled with capital markets and international regulatory and compliance expertise.  

Prior to joining Oyster, Ann was at the World Bank’s International Finance Corporation in Washington, DC where she was involved in developing and implementing the IFC’s regulatory and compliance programs.  In this role, she became involved in compliance and regulatory matters in over 100 countries.

Ann was Deputy General Counsel and Director of Regulatory Affairs and Compliance at FBR Capital Markets from 2005 to August 2010 with overall responsibility for compliance programs for broker-dealer, investment adviser and affiliated entities.  Primary responsibilities included:  determining policy on matters relating to information barriers, investment banking, research, equity and fixed income sales and trading; developing and implementing compliance and supervisory policies and procedures; conducting internal investigations; and assessing regulatory risk for firm’s compliance with federal and state rules and regulations.  Additional responsibilities include:  determining technology needs and ensuring on-time and on-budget implementation of compliance-related technology programs, coordinating cross-departmental build-out of London and Australia offices; and supervising U.K. compliance staff.

From 2002 to 2005, Ann held the position of Associate Vice President and Director, Testing and Continuing Education Department at FINRA (f/k/a NASD) where she had overall responsibility for NASD’s Testing and Continuing Education program.   Primary responsibilities included:  representing NASD on the development of capital markets examination, overseeing the coordination of U.S. and international test delivery and continuing education matters with SEC and other self-regulatory organizations; overseeing the content of all NASD examinations and continuing education programs; and negotiating contracts with external clients.  She also held the position of Special Counsel to the Executive Vice President, NASD Market Regulation Department where her responsibilities included special projects relating to coordination of various NASD initiatives; advising the Executive Vice President on regulatory policy, conducting training for NASD staff; and acting as liaison with securities regulators.
    
From 1998 to 2002, Ann worked in New York at Credit Suisse First Boston as Deputy Director of Compliance for Regulatory Matters where she was responsible for oversight and supervision of bank and broker-dealer regulatory issues, registration, training, and branch examination programs.  Prior to CSFB, Ann was at Bankers Trust Company working on matters relating to global risk management, information barriers, domestic and international trading of new products, and broker-dealer regulation.

Ann was at the U.S. Securities & Exchange Commission in Washington from 1991 to 1997 as Special Counsel in the Office of Compliance Inspections & Examinations where she conducted inspections and investigations of various regulated entities and prepared reports and memoranda for the Commission, supervised attorneys during field work and drafting of reports, and performed trading reconstructions of various securities markets.

Ann received her undergraduate and Juris Doctorate degrees from the University Of Illinois and is a member of the bar in Illinois.  She has held a FINRA Series 7, 9, 10 and 24 registrations which are currently inactive and was on the FINRA Series 24 Committee and a member of the Association of Registration Management.  She was also on the Editorial Board of the Journal of Securities Compliance.