Theresa Muller Director 804.521.6018 vCard

Theresa is an accomplished compliance professional with over 20 years of experience in the financial services industry specializing in regulatory compliance and risk management for investment advisors. A certified paralegal, she has been responsible for the drafting and review of a wide spectrum of agreements, offering memorandums, and proxy materials. Prior to joining Oyster, Theresa was Vice President of Compliance for Wealthcare Capital Management LLC, a billion-dollar Registered Investment Advisor. Theresa spent nine years in various legal and compliance positions with Ivy Asset Management, a former New York based fund of hedge funds and subsidiary of the Bank of New York Mellon.

Expertise

  • Worked as an outsourced CCO to State- and SEC-registered Investment Advisors
  • Worked in an outsourced CCO Support Role to various State- and SEC-registered Investment Advisors
  • Designed and implemented compliance programs including compliance calendars, policies & procedures and code of ethics
  • Conducted mock audits for Investment Advisors and dually-registered firms including current and pending SEC and DOL (ERISA) regulations
  • Registered and designed compliance programs for new Investment Advisors
  • Converted and implemented compliance calendar, gift reporting and trade monitoring
  • Proficient with industry platforms, including Oyster Solutions software

Career Highlights

  • Vice President, Paralegal and  Compliance Officer, Wealthcare Capital Management, LLC.
  • Assistant Vice President, Paralegal and Compliance Officer, Ivy Asset Management Corp.
  • Investor Reporting Representative, Delta Funding Corporation

Education, Accolades and Industry Commitments

  • Bachelor of Business Administration, James Madison University
  • Certification in Paralegal Studies, Hofstra University – University College of Continuing Education

Publications and Presentations

Regulators Continue to Focus on Senior Clients in Exams – Are You Ready? – Oyster Blog, October 15, 2019

FEATURED CONSULTANT

Karen Houghton,Senior Consultant

Karen began her career in the branch examination department of a regional broker-dealer, and her role grew to include creation and management of multiple departments, including Complaints...

› LEARN MORE