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Hosting San Francisco Compliance Roundtable
September 15, 2016 @ 1:30 pm - 3:00 pm
On September 15, 2016, Oyster Senior Consultant Harriet Britt will be hosting the San Francisco Compliance Roundtable. If you would like to be a part of this informative event, please contact Harriet at email@example.com or at 415.407-1825.
Harriet has over 30 years of experience in the securities and futures industries with the last 20 focused in supervision and compliance at broker-dealers and investment advisors. She brings extensive experience at investment banking boutiques in the areas of corporate finance, mergers and acquisitions, institutional sales, trading, research, private client and wealth management services. She has worked with US firms that have affiliate businesses in Europe and the Middle-East. Harriet has registered wealth management firms, hedge funds and mutual funds. She has created and implemented compliance programs at broker-dealers and investment advisors. She has been the AML officer at multiple organizations, and has developed privacy and information security policies and Business Continuity Plans. Harriet has also managed the legal affairs for investment banks.
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.