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Attending the SIFMA Compliance & Legal Regional Seminar

June 20, 2017

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Oyster Consulting Associate Director Jill Bening will be attending the SIFMA Compliance & Legal Regional Seminar in St. Louis, MO on June 20, 2017.

Jill is an experienced Compliance professional that brings over 15 years of practical compliance application perspective and insight. Jill has worked in the Compliance divisions of both small and large regional and national independent broker-dealers as well as conducted compliance reviews of registered investment advisors and private equity firms.  She has served as the Chief Compliance Officer for broker-dealers, registered investment advisors and dual-registered firms.  She has advised firms on a wide range of federal and state regulatory matters, including responding to SEC, FINRA and state inquiries, and provides a practical application perspective to firms and their compliance programs. 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 (AML) reviews and annual compliance requirements.

 

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.

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June 20, 2017
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