Theresa Muller
Director
theresa.muller@oysterllc.com
540.872.8964
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
- 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
