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Oyster Associate Director Nikki Brinkerhoff Attending NSCP Women in Compliance Meeting

March 19 @ 5:30 pm - 8:00 pm

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NSCP Women in Compliance

Oyster Consulting Associate Director Nikki Brinkerhoff will be attending NSCP’s Women in Compliance meeting in New York, March 19, 2019.  The meeting honors International Women’s Day with a candid discussion on the issues facing women and their firms in the compliance industry, including gender gaps in earnings and advancement, work achievement, and opportunities. Attendees will hear from a panel of women with diverse backgrounds in compliance on how they have overcome roadblocks in their careers. Our compliance panelists will be joined by an executive coach that works with women to accelerate their career success.

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.  Nikki’s experience in sourcing, designing and implementing technology to achieve operational excellence, improve customer experience, enhance service delivery and address regulatory findings includes specific solutions in:

  • Broker-Dealer/RIA/Trust compliance, middle and back office operations and fully virtual client onboarding
  • Integration of BD/RIA operations with National Banks, Custody and Clearing vendors, Affiliate data sharing
  • AML surveillance, Red Flag Rules, HIPAA, investigation (case) management, PCI and privacy operations
  • Automated Regulation change management and risk reporting
  • Incentive Compensation, Conflict and trading away monitoring systems
  • Cybersecurity, systems change management and governance, risk and compliance