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Dennis and Brinkerhoff Attend SIFMA C&L Annual Seminar

March 24 - March 27

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Oyster Consulting General Counsel Patrick M. Dennis  and Associate Director Nikki Brinkerhoff will be attending the SIFMA Compliance & Legal Society Annual Seminar on March 24-27, 2019 in Phoenix, Arizona.

Patrick’s career has included extensive work as an attorney with the Securities and Exchange Commission in both the Division of Corporation Finance and the Division of Enforcement, where he handled a variety of cases including complex financial fraud, insider trading, broker-dealer and investment advisory issues and revenue recognition. Patrick also served as General Counsel and Corporate Secretary for Banc One Securities Corporation (Bank One Corporation’s bank brokerage firm).  Prior to founding Oyster Consulting, Patrick was a Senior Vice President and Assistant General Counsel to Wachovia Securities, LLC, where he was in charge of all litigation and regulatory matters affecting the retail brokerage firm.

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

 

For more information about how Oyster Consulting can assist your firm, please complete our contact form or call (804) 965-5400 and one of our Relationship Managers will be happy to help you.

 

 

 

Venue

JW Marriott Phoenix Desert Ridge
5350 East Marriott Drive
Phoenix,AZ85054United States
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