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Chicago Compliance Officer Roundtable

May 30, 2019

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Oyster Associate Director Nikki Brinkerhoff and Relationship Manager Mark O’Connor will be attending the latest in a series of interactive investment adviser compliance roundtables. This series is designed to bring compliance officers and others interested in adviser compliance issues in the Chicago metropolitan area together periodically to share information and discuss hot topics.

At the Spring 2016 Roundtable, our panelists will discuss the latest regulatory developments affecting investment advisers, including hedge fund and private equity managers and family offices.

Nikki Brinkerhoff has over 20 years of expertise in Financial Services including the technology and operational controls required to achieve compliance and service delivery strategy.  She has extensive experience in Retail and Institutional broker-dealers, Dual registrant BD/RIA, investment banking, bank holding companies and international registrations for U.S. firms.  In addition to her senior roles with FTB Advisors and Regions Bank, she has been an active participant in industry compliance and operations associations and committees including SIFMA, BISA, IIA and ISACA.

Mark O’Connor brings over 30 years of experience in the trading and capital markets industry to the role of relationship management at Oyster Consulting. Before joining Oyster, Mark was Director of Sales and Marketing at the Chicago Stock Exchange (CHX). He managed and executed all aspects of business development, product marketing and client management at the CHX. He initiated the CHX foray into social media including Twitter, and written blogs supporting the CHX acquisition by Casin Group. Prior to his position at CHX, Mark held business development roles at British Telecom, Citigroup and Northern Trust. He earned his MBA in finance from Loyola University of Chicago, Graduate School of Business.



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