“CCO – Behind the Scenes:” The New Oyster Stew Podcast Mini-Series
Join Oyster Consulting’s Jeffrey Hiller in his new podcast mini-series,
CCO – Behind the Scenes, as he shares his vast experience as both a Chief Compliance Officer (CCO) for several global investment firms and Senior Counsel for the SEC’s Division of Enforcement. Jeffrey literally helped write the book on modern regulatory compliance. Being CCO is more than just checking boxes. There are office politics to navigate, nuances to dealing with regulators and board members, and of course, ethical issues. Listen and learn in these short discussions as Jeffrey shares his real experiences and lessons learned from his decades in the industry. Some things you just won’t get from a textbook, such as cultivating the “tone at the top,” document production during an exam, escalation, dealing successfully with Boards, and repeat violations, to name a few.
Oyster’s consultants have been CCOs and Compliance Officers for investment advisors and broker-dealers of all shapes and sizes. When you get the services of one consultant, you get the combined knowledge and experience of them all. Oyster takes a proactive approach to being CCO by staying ahead of the regulatory curve and making sure your firm is up to date on all proposed and final regulations, filtering through the regulatory noise to find the news and updates that are relevant to your firm’s needs