Oyster Consultants Congratulated for Excellent Service

Oyster Consultants bring decades of industry experience and add meaningful value to our clients. As Oyster continues its ascent as a regulatory and compliance leader, we are proud to announce the following promotions:

MollyBrysonMolly Bryson – Director, Client Relationships
Molly is dedicated to the highest level of client satisfaction for financial services firms across the country. Prior to joining Oyster, Molly was a Senior Vice President-Director of Client Services with First Clearing Correspondent Services wherein she managed a team of Relationship Managers serving as advocates dedicated to the highest level of operational process and service satisfaction for various correspondent firms across the country. She has held leadership positions with various types of financial companies including banks, mutual fund companies, brokerage operations and brokerage services. Molly’s experience includes detailed process analysis and design, identifying service and process trends, providing workable solutions, managing conflict resolution and project management.

Pete McAteerPete McAteer – Director
Pete has senior level management experience consulting and leading large Programs and Operations Teams; driving significant, impactful change management, process improvement and implementation efforts working with Fortune 500 companies in International Quality Manufacturing and Financial Services industries. He leads complex organizational and operational integrations, change management and implementations, client service delivery programs, regulatory response remediation and process improvement efforts.

 

DeanPelosDean Pelos – Director
With over 30 years of experience as a financial services professional, Dean has extensive experience helping firms maintain regulatory compliance, grow sales, and control costs. Dean has a strong background in compliance for broker-dealers and additional experience specializing in regulatory compliance for investment companies and advisers. He also works with both broker-dealers and investment advisers providing CCO Support, conducting annual reviews, mock audits and gap analysis. Dean has also lead institutional sales, trading departments and has supervised back office and clearing matters on institutional and retail levels.

ClarkTuckerClark Tucker – Director
Clark is a senior financial and operations executive with more than twenty years of experience in the banking and securities brokerage industries. He has acknowledged strengths in creative and collaborative leadership, innovation and revolutionary problem solving, and multi-lateral thinking. Clark also is a highly motivated, values-driven, practical and goal-oriented leader focused on making a positive impact on the company and its stakeholders.

 

 

JillBeningJill Bening – Associate Director
Jill has worked in the Compliance divisions at both small and large regional and national broker-dealers as well as conducted compliance reviews of Registered Investment Advisers and private equity firms. Jill specializes in broker-dealer supervision and surveillance, including the creation of Written Supervisory Policies and Procedures, branch office supervision and oversight, evaluations of complex compliance issues, Firm and product due diligence, responses to regulatory inquiries and arbitrations, continuing education training and development, anti-money laundering reviews and annual compliance requirements.

 

EvanRosserEvan Rosser – Associate Director
Evan has over 25 years of experience managing complex securities investigations for NASD/FINRA, providing compliance expertise to both broker-dealers and investment advisors. He serves as CCO for advisors and broker-dealers, and provides CCO support. Evan has also served as both a SEC-approved and a FINRA-approved independent consultant. Evan’s broker-dealer engagements focus on market issues such 15c3-5 compliance, Reg SHO, and order type behavior. Prior to joining Oyster, Evan supervised FINRA’s Enforcement Department investigative staff, which successfully completed hundreds of investigations alleging numerous FINRA and SEC rule violations including NASDAQ and OTCBB trading violations, excessive equity markups and mark-downs, and NASD/FINRA corporate financing and advertising rule violations.

JulieGibbs270Julie Gibbs – Associate Director
Julie specializes in regulatory compliance for investment companies and advisors. She develops and implements compliance programs, conducts mock audits and exams and assists clients with federal and state regulatory exams and enforcement cases. Julie serves as CCO and works with clients in the investment advisor SEC and state registration process. Prior to joining Oyster, Julie served as Managing Director of Client Services and Compliance for the Commonwealth Companies. She oversaw the regulatory compliance of the Commonwealth Companies and the implementation of advisor, fund and broker-dealer policies and procedures. Julie was an integral part of new fund launches and served as liaison to the Board of Directors for several fund companies and trusts.

 

Theresa MullerTheresa Muller – Senior Consultant
Theresa is an accomplished compliance professional specializing in regulatory compliance and risk management for investment advisers, hedge funds and hedge fund of funds. She serves as CCO and provides CCO support for SEC-registered investment advisers. Prior to joining Oyster, she was VP of Compliance for a billion-dollar Registered Investment Adviser. A certified paralegal, she has drafted and reviewed of a wide spectrum of agreements, offering memorandums and proxies for the firms she has worked for.

 

2015 has been a successful year for Oyster Consulting. We expanded on both sides of the Atlantic, opening offices New York and Luxembourg to facilitate our work with firms bridging the gap between U.S. and Europe regulations. Oyster also increased its service offerings and welcomed several talented and experienced industry professionals to its U.S. and Bermuda teams.

Oyster Consulting would like to extend a large thank you to our clients and our employees for our continued success.

 

by George Jennison
President
Oyster Consulting LLC

 

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