On October 19-20, 206 Oyster Director Jeff Harpel will be attending the AICPA-SIFMA Conference on Securities Industry in New York.
Jeff is a seasoned industry professional with over 30 years of expertise in accounting, finance, and auditing in the securities brokerage industry. Jeff’s experience includes a comprehensive understanding of securities operations and regulations, experience in dealing with regulatory bodies, examiners and auditors and a thorough command of internal controls, financial systems, and merger conversion activities. Prior to joining Oyster, Jeff was Director of Regulatory Accounting and Financial Compliance for the retail broker-dealers of Wachovia Securities (now Wells Fargo Advisors) ensuring compliance with net capital, customer protection, FOCUS, and other financial rules and reporting requirements. At Oyster, Jeff’s experience has been utilized as the FinOp for a number of brokerage firm clients as well as on numerous regulatory reporting engagements.
To learn more about how Oyster can assist your firm with its regulatory compliance, complete our contact form and one of our Relationship Managers will be happy to help you.