Ed Wegener Managing Director ed.wegener@oysterllc.com 312.505.2106 vCard

Ed Wegener is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as technology optimization and risk mitigation. Prior to joining Oyster, Ed held several posts in FINRA, most recently as  Senior VP and Midwest Regional Director.  While there, he was responsible for the Region’s risk assessment, examination and investigation programs. Ed was a member of the team that developed FINRA’s risk-based examination program and he developed and managed FINRA’s first Digital Asset and Cybersecurity examination programs.

Expertise

• Supervisory Systems and Controls Development and Testing
• Fraud Risk Assessments and Fraud System Development and Testing
• AML Program Development and Testing
• Regulatory Relationships and Examination Support
• Internal Investigations
• Compliance Technology and Tool Integration, Reg Tech
• Branch Office Inspections
• Digital Assets
• Cybersecurity Program Assessments
• Business Continuity Program Development and Testing

Career Highlights

• Senior VP & Midwest Regional Director, Financial Industry Regulatory Authority (FINRA), Chicago
• Deputy Director, Financial Industry Regulatory Authority (FINRA), Chicago
• Associate Director, Examination Manager, Examiner, Financial Industry Regulatory Authority (FINRA), Chicago

Education, Accolades and Affiliations

• Master of Accounting & Financial Management, Keller Graduate School of Management, Chicago, IL
• B.S., Finance, Illinois State University
• Certified Regulatory and Compliance Professional (CRCP), FINRA Institute at Wharton, University of Pennsylvania
• Certified Fraud Examiner (CFE)
• Certified Anti-Money Laundering Specialist (CAMS)
• FINRA Series: 7, 24, 63 & 79
• FINRA Leadership Program, Wharton School of Business, University of Pennsylvania
• Leadership Development Program, Center for Creative Leadership
• Association of Certified Fraud Examiners
• Association of Certified Anti-Money Laundering Specialists
• Member, Regulatory Advisory Committee, National Society of Compliance Professionals (NSCP)

Publications and Presentations

• Regulators – Behind the Scenes – Oyster Stew Podcast Mini-Series, November, 2020
• Leadership – Connecting the Dots in Today’s Business Environment – Oyster Stew Podcast, August 19, 2020
• 5 Common Compliance Mistakes – Oyster Blog, August 18, 2020
• Preparing for Modern Regulatory Exams – Oyster Stew Podcast, August 5, 2020
• Understanding Risk-Based Regulatory Exams – Oyster Stew Podcast, July 29, 2020

Speaking Engagements:

• SEC National Broker Dealer Compliance Outreach Program, 2019
• Market Development and New Surveillance Techniques conference, São Paulo, Brazil, 2017
• Securities Industry and Financial Markets Association (SIFMA)
• National Society of Compliance Professionals (NCSP)
• FINRA’s Annual Conference