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.


  • 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