Buddy Doyle is a passionate and innovative executive and has been in the securities industry for over 25 years. Over the past eight years, he and his team have built an award winning organization with 50 employees serving hundreds of clients in the United States, Bermudian and European financial industries.
Prior to starting Oyster Consulting, Buddy was a Senior Vice President at Wachovia Securities LLC (now Wells Fargo Advisors) where he held leadership roles in that growing organization in Operations, Finance, Commodities, Technology, Compliance and the Private Client Group. He gained experience working with both small and large firms by starting his career at Wheat, First Securities in 1987, when the firm had 50 offices and 500 brokers in the Mid-Atlantic region. Through 10 acquisitions and mergers, the firm evolved into one of the largest in the United States.
During his career, Buddy’s team has transitioned organizations from paper-based activity reports and manual processes to sophisticated exception reports and automated processes that improve efficiency while enhancing risk controls.
Education, Accolades and Affiliations
- Graduate of Virginia Commonwealth University with a Bachelor of Science in Business Administration
- Member of the NSCP
Publications and Presentations
Emerging Technologies – Existing Regulations – Panelist, NSCP-Oyster Consulting webinar, May 1, 2018
The SECS 2017 Priorities: What They Are and What Compliance Professionals Need to Know– NSCP Currents, February, 2017.
SEC Could Start Issuing More Exam Fines for Poor Cybersecurity Controls — Buddy Doyle — Intra Links Fund Space, Return to Cybersecurity Update, October 13, 2015
“Best Practices for Selecting Governance Risk and Compliance Software” – Shannan Layette, Pete McAteer, Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
“A Practical Guide for Handling Legacy Data” – Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer