“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… READ MORE

New Podcast: Leadership – Connecting the Dots in Today’s Business Environment

Recently, Oyster Consulting industry leaders Buddy Doyle, Bill Davis, Jeffrey Hiller, Jim Roth and Ed Wegener took some time to discuss what firm executives and decision makers should be focusing on in today’s volatile and changing business environment. With their decades of experience in compliance, operations, growth strategies and operations, they provide insight into improving… READ MORE

New Podcast: Preparing for Modern Regulatory Exams

The pandemic has changed how firms operate as offices close and staff work from home. Regulators have also had to change their examination practices to accommodate these changes.  In this episode, Oyster Managing Director Ed Wegener, a former SVP and Midwest Regional Director of FINRA, shares his insider views on: the changes in the regulator’s… READ MORE

Former FINRA Regulator and Innovator Joins Oyster Consulting

Financial Services consulting firm expands Governance, Risk and Compliance team Oyster Consulting welcomes Ed Wegener to the firm as a Managing Director with the Governance, Risk and Compliance team. Ed brings a deep knowledge of compliance, risk management and supervisory controls requirements and best practices for broker-dealers and alternative trading systems.  His vast experience as… READ MORE

Former Pershing Managing Director Joins Oyster Consulting

Financial Services consulting firm expands strategic consulting talent   Oyster welcomes Jim Roth to the firm as a Managing Director of our Strategic Planning and Execution team. With over 30 years of experience in the financial services industry, Jim’s extensive knowledge of the clearing and custody space, as well as his ability to provide customized… READ MORE

New Podcast: Software Selection – Where Do I Start?

Many firms are looking to improve their bottom line, and one of the ways this can be done is by updating your software. But where to begin? How do you know if it will work for your firm? What will the implementation look like? What about hidden costs?  In this week’s episode of our Oyster… READ MORE