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Oyster Sponsors 2019 Schwab Compliance Solutions National Conference

April 3, 2019 - April 5, 2019

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Join Oyster Associate Director Nikki Brinkerhoff and Relationship Managers Molly Bryson and Gena Spitzer at the 2019 Schwab Compliance Solutions National Conference in Memphis, TN April 3-5, 2019.  Learn new compliance best practices and meet other industry professionals.  Don’t forget to stop by our booth to learn how Oyster’s consulting and software services can help your firm stay ahead of the regulatory curve.

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 Broker-Dealer/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

Molly Bryson brings over 25 years of experience in the financial services industry to her relationship manager role. Prior to joining Oyster, Molly was a Senior Vice President-Director of Client Services with First Clearing Correspondent Services, an affiliate of Wells Fargo & Company. In that role, she managed a team of relationship managers serving as advocates dedicated to the highest level of operational process and service satisfaction for various correspondent firms across the country. In addition, she has held leadership positions with various types of financial companies including banks, mutual fund companies, brokerage operations and brokerage services. Molly’s experience also includes detailed process analysis and design, identifying service and process trends, providing workable solutions, managing conflict resolution, project management and training.

Gena Spitzer brings more than 30 years of experience in leadership, organizational alignment and client service to her relationship management position. Seventeen of those years have been in the financial services industry. Prior to joining Oyster, Gena was a Practice Director and member of the Leadership Team at Rubicon International. Previous to that, she served as Director, Corporate Services and Senior Manager, Corporate Support with Wachovia Securities (now Wells Fargo Advisors). She participated on merger and acquisition teams, managed vendor relationships, organized community involvement activities and oversaw the business continuity and disaster recovery programs.  Gena’s experience also includes fiscal management, process execution and management, change management, identifying service and process trends, providing workable solutions, managing conflict resolution, project management and training.

 

Venue

Peabody Hotel
149 Union Avenue
Memphis, TN 38103 United States
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