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NSCP Regional Chicago Conference
May 23, 2017
On May 23, 2017 Oyster Consulting Director Dean Pelos will be attending the NSCP Regional Chicago Conference in Chicago, IL.
With over 30 years of experience as a financial services professional, Dean has extensive experience helping firms maintain regulatory compliance, grow sales, and control costs. Dean has a strong background in compliance for investment advisers and broker-dealers and additional experience specializing in regulatory compliance for investment companies. He also works with both broker-dealers and investment advisers providing CCO Support, conducting annual reviews, mock audits and gap analysis. Dean has also led institutional sales, trading departments and has supervised back office and clearing matters on institutional and retail levels. Prior to being an Investment Manager at LaSalle St. Securities, Dean was CCO at Sterling Investment Services, Inc., where he led the firm’s strategic efforts including establishing and maintaining the compliance program, supervising trading operations, and managing the affairs of the broker-dealer.
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.