Joe Turner Senior Consultant 804.521.6002 vCard

Joe has over 30 years of experience in Securities Industry Compliance and joined Oyster after holding senior level management roles at a large wirehouse.  Joe actively participates in AML Independent Audits, RIA reviews, 3120 reviews, sales supervision, branch exams, and evaluations of compliance programs, as well as assisting with addressing new regulatory issues such as Reg BI.  He began his career as a state regulator with the Division of Securities and Retail Franchising for the Commonwealth of Virginia, where he gained a regulatory perspective on the securities industry.  Later, he moved to the private sector, where he spent 26 years working with a broker-dealer that he saw grow from a 500 Registered Rep regional firm to the third largest in the country. Joe has a very broad base of experience in the Retail Compliance and AML arenas. He also has significant experience in conducting and managing firm testing/branch exams and surveillance.

Expertise

  • Conducting Reviews of Registered Investment Advisors
  • Conducting testing of broker-dealers
  • Evaluating Written Supervisory Procedures
  • Development and execution of branch examination programs
  • Provides guidance and assistance in implementation of Reg BI
  • Developing account review and general account surveillance programs/procedures as well as designing and implementing technology-based surveillance
  • AML Audits
  • AML Surveillance programs and Suspicious Activity Reporting processes, implementation and investigations and overseeing the Suspicious Activity Reporting
  • Managed regulatory exams
  • Merger integration
  • Sales supervision
  • Implementing Compliance and AML surveillance systems
  • Assisted in the development of Retail Compliance operating and supervisory procedures
  • Served as point person in coordinating operational compliance controls
  • Evaluating and defining Operational and Trading procedures

Career Highlights

  • SVP – Manager of AML Surveillance and Investigations, Wells Fargo Advisors
  • SVP – Manager of Retail Surveillance, Wachovia Securities
  • SVP – Manager of Surveillance and Examinations, Wheat First Union Securities

Education, Accolades and Industry Commitments

  • B.S., Commerce—University of Virginia
  • FINRA Series 7, 8, 14, 24 and 63 registrations (Registrations are typically inactive, but may be used when appropriate to perform interim functions for our clients)

Publications and Presentations