Buddy Doyle is a passionate and innovative executive focused on the financial services industry since 1987. His team has built an award-winning organization serving hundreds of clients in the United States and Bermuda with consulting, outsourcing and software solutions.
Prior to founding Oyster Consulting, Buddy was a Senior Vice President at Wachovia Securities LLC (now Wells Fargo Advisors) where he held leadership roles in a rapidly growing organization in Operations, Finance, Commodities, Technology, Compliance and the Private Client Group. He gained experience working with both small and large firms by starting his career at Wheat, First Securities when the firm had 50 offices and 500 brokers in the Mid-Atlantic region. Through 10 acquisitions and mergers, the firm evolved into one of the largest in the United States.
As CEO of Oyster Consulting, Buddy has led the charge to create a successful organization built on the belief that transforming experienced industry practitioners into consultants adds more value to our clients. Oyster helps our clients successfully start, grow and run their broker-dealers, investment advisors and exchanges, achieving significant profits in a compliant fashion. By focusing holistically on one industry, Oyster’s consulting services have helped our clients become more profitable through revenue enhancements and optimizing how they use technology and service providers to achieve their best outcomes. Oyster’s outsourced compliance and CFO/FINOP teams have provided excellent results in helping our clients deliver products and services in a way that keeps them safe from fraudsters, mitigates regulatory and financial risks and protects their reputations. Oyster Solutions software has created a 30% improvement in efficiency by organizing, integrating and automating governance, risk and compliance functions with a design that stays ahead of the accelerating pace of change.
Education, Accolades and Affiliations
- Graduate of Virginia Commonwealth University with a Bachelor of Science in Business Administration
- Member of the NSCP
Buddy Doyle has delivered numerous presentations for clients and industry groups, and is dedicated to improving the industry through continuous learning. If you would like to have Buddy speak at your event, please contact us at (804) 965-5400.
- Conducting Remote Supervision in Your Transitioning Workplace – Oyster Stew Podcast, May 20, 2020
- Annual Review Best Practices – Do You Know What to Look For? – Oyster Stew Podcast, April 16, 2020
- Risk Assessments: keeping Your Firm Focused – Oyster Stew Podcast, March 25, 2020
- The Best Offense is a Good Defense: Shifting Cybersecurity from Expense to Client Value – Speaker, Outcomes 2019 Conference, July 2019
- Cryptocurrency – Panelist, Financial Markets Association Securities Compliance Seminar, May 2019
- Cybersecurity Awareness Seminar – What Every Business Should Know – Panelist, NDSE-Oyster Consulting Seminar, January 2019
- Emerging Technologies – Existing Regulations– Panelist, NSCP-Oyster Consulting Webinar, May 2018
- Vulnerable Adult Clients – Protecting Your Client and Your Firm – Schwab Conference Series (Los Angeles, San Francisco, New York), September – December 2017.
- An Analysis of the New Financial Market Technologies – Panelist, Bloomberg Webinar, August 2017
- Scaling the Threat: Cybersecurity Basics on a Budget – Panelist, NASAA Cybersecurity Roundtable, June 2017.
- Creating and Executing Effective, Customized Branch Examinations – Panelist, NSCP-Oyster Consulting Webinar, September 2016.
- Industry Experts – Cybersecurity – Panelist, NFA Cybersecurity Workshops (New York, Chicago, Los Angeles), March 2016
Buddy frequently posts blogs on Oyster Consulting’s website, as well as the publications below:
- Reg BI – Where Are We Now? – Oyster Stew Podcast, November 4, 2020
- Your Transitioning Workplace – Don’t Lose Sight of the Moving Parts – Oyster Stew Podcast – May 6, 2020
- 2020 Exam Priorities – Part 3 – Oyster Stew Podcast – February 19, 2020
- 2020 Exam Priorities – Part 2 – Oyster Stew Podcast – February 12, 2020
- 2020 Exam Priorities – Part 1 – Oyster Stew Podcast – February 6, 2020
- Reg BI – The Compliance Obligation – Oyster Stew Podcast, November 6, 2019
- Reg BI – The Conflicts of Interest Obligation – Oyster Stew Podcast, October 16, 2019
- Reg BI – It’s a Bigger Deal Than You Might Think – Oyster Stew Podcast, October 9, 2019
- Oyster Consulting – CIO Outlook Top 10 Hedge Fund Technology Solutions Provider – CIO Outlook Magazine, September 2018
- The SEC’s 2017 Priorities: What They Are and What Compliance Professionals Need to Know – NSCP Currents,February 2017.
- SEC Could Start Issuing More Exam Fines for Poor Cybersecurity Controls— Intra Links Fund Space, Return to Cybersecurity Update, October 13, 2015
- Best Practices for Selecting Governance Risk and Compliance Software– Shannan Layette, Pete McAteer, Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
- A Practical Guide for Handling Legacy Data – Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer