Casey Dougherty

My clients appreciate how I combine practical business acumen with compliance best practices.

Casey Dougherty has over 20 years of experience in the financial services industry. His expertise includes Compliance and Legal supervision in a shared-services environment.  Casey is experienced in executing broker-dealer to broker-dealer joint work and succession arrangements, and other marketing arrangements covering private placement life insurance, VUL and annuity sales. He also has expertise with DOL PTE 2020-02 and Best Interest Compliance. Prior to joining Oyster, Casey served as CCO and CRO for three divisions of M Financial Group, including two broker-dealers and two registered investment advisors. He also served as CLO and CCO for KMS Financial Services, in which he coordinated with executive leadership and shared-service management to balance company goals, long-term strategic direction, risk mitigation, compliance and reputation.

Expertise

• Execution of broker-dealer to broker-dealer joint work and succession agreements, and other marketing agreements covering private placement life insurance, VUL and VA
• Broker-dealer and RIA CCO responsibilities including AML Compliance, ERISA, DOL PTE 2020-02, risk assessment and reporting
• Balancing minimizing firm risk with preserving rep and client investment options
• Strategic regulatory positioning
• Product development
• Contract review
• Complaint and audit management and response
• Setting, managing and communicating policies to recruit, train and retain employees and representatives.

Career Highlights

• Vice President, Chief Compliance & Risk Officer – M Financial Holdings, Inc.
• Chief Legal Officer & Chief Compliance Officer – KMS Financial Services, Inc. (a former subsidiary of Ladenburg Thalmann Financial Services Inc. & Advisor Group)
• ​Vice President, Compliance and Insurance – KMS Financial Services, Inc.