Ed Wegener

Our clients get the best service because we bring over 1000 years of experience across multiple areas and disciplines. 

Ed Wegener is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as technology optimization and risk mitigation. Prior to joining Oyster, Ed held several posts in FINRA, most recently as  Senior VP and Midwest Regional Director.  While there, he was responsible for the Region’s risk assessment, examination and investigation programs. Ed was a member of the team that developed FINRA’s risk-based examination program and he developed and managed FINRA’s first Digital Asset and Cybersecurity examination programs.

Expertise

• Supervisory Systems and Controls Development and Testing
• Fraud Risk Assessments and Fraud System Development and Testing
• AML Program Development and Testing
• Regulatory Relationships and Examination Support
• Internal Investigations
• Compliance Technology and Tool Integration, Reg Tech
• Branch Office Inspections
• Digital Assets
• Cybersecurity Program Assessments
• Business Continuity Program Development and Testing

Career Highlights

• Senior VP & Midwest Regional Director, Financial Industry Regulatory Authority (FINRA), Chicago
• Deputy Director, Financial Industry Regulatory Authority (FINRA), Chicago
• Associate Director, Examination Manager, Examiner, Financial Industry Regulatory Authority (FINRA), Chicago