Tim Buckler Senior Consultant 804.521.6027 vCard

 

Tim has spent 10 years in the financial services industry, with a focus on project management, cybersecurity, data analysis, and compliance. Tim’s experience includes project management support for clearing platform conversions, cybersecurity assessments, GDPR and CCPA assessments, performing 12b-1 Mutual Fund fees analysis for regulatory initiatives, and ownership changes for custodial IRA held annuities. Tim works with firms of varying size, from small RIAs and broker-dealers to some of the top clearing firms in the United States.

Expertise

  • Supports clearing vendor conversion Project Management Office (PMO) and business leaders in managing critical tasks and risks
  • Manages the PMO for various Operations, Compliance, and Trading engagements, including CAT assessments, Blue Sky assessments, and annuity ownership changes
  • Performs cybersecurity current state assessments and gap analysis, testing companies’ policies, procedures and controls against current cybersecurity threats
  • Performs data analysis for 12b-1 Mutual Fund fee analysis in support of reconciliation of regulatory initiatives
  • Performs current state assessments and gap analysis for General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA), remediates issues found by drafting governance structures, updating policies and procedures, and conducting training
  • Reconciles proprietary FiNet statements to Wells Fargo Advisors statements in trust but verify project
  • Assisted firm with data testing and modeling of their client retirement projection system
  • Administrated Oyster’s public website, intranet site, and contact/relationship management (CRM) system
  • Managed documentation and processes for Customer Identity and AML programs including OFAC checks, negative news reviews, foreign transaction surveillance and 314(a) information sharing requests for retail and investment banking activity
  • Facilitated and tracked insurance licensing and appointment applications for individual representatives
  • Maintained employee code of ethics monitoring of access persons’ accounts including submission of 407 letters, outside activities, trade pre-approvals, and advertisement reviews
  • Assisted firm with data testing and modeling of their client retirement projection system
  • Validated performance reporting processes and calculations

Career Highlights

  • Compliance Analyst, First Clearing Corp. sub-firm, a dually-registered broker-dealer/investment advisor
  • Intern, Riverfront Investment Group
  • Intern, Federal Reserve Bank of Richmond, VA
  • Intern, Wachovia Securities (now Wells Fargo Advisors)

Education, Accolades and Industry Commitments

  • Bachelor of Science, Economics, Minor in Mathematics from Longwood University

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