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Oyster’s Brinkerhoff – Panelist at NSCP Canadian Compliance Roundtable

March 26, 2019

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Nikki Brinkerhoff

Oyster’s Associate Director Nikki Brinkerhoff will be a panelist at the NSCP Canadian Compliance Roundtable on Tuesday, March 26, 2019.  Nikki will be speaking on the 2019 SEC Exam Priorities.

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