To me, a successful engagement is when the client interaction feels like a partnership based on trust and respect earned through professional consultation.
Ralph is a securities industry professional with over 25 years of experience in the financial services industry. Through a variety of roles with Wachovia Securities, LLC and The FinancialGroup of Virginia, Ralph gained his expertise in clearing conversions as well as an extensive understanding of trading and regulatory reporting of equity and fixed income securities. A member of the Oyster Consulting team since 2010, Ralph has led multifaceted teams in large-scale client remediation and clearing platform conversion-related projects. Most recently, Ralph is using his expertise in trade reporting providing large broker dealers project management and subject matter expertise related to the Consolidated Audit Trail (CAT).
- Subject Matter Expert in CAT and CAIS reporting with extensive knowledge or SEC Rule 613
- Works with third-party CAT Reporting Agents and consolidation vendors to implement reporting systems
- Acted as Share Class Remediation Project lead on multiple engagements to remediate clients potentially over–charged on Mutual Fund transactions
- Senior Consultant for projects related to clearing platform assessments, vendor evaluations and selection/decision-making, including annuity ownership changes and repapering of advisory accounts
- Reviewing, classifying and analyzing large-scale data sets to identify system breakdowns and inconsistencies, thereby attaining full-scope data sets for solution evaluation
- Implementing Trade Suitability Review Systems for national broker-dealers and RIAs
- Reviewing, revising and implementing Policies and Procedures and trade flow analysis for Capital Markets and Retail Equity/Fixed Income Trading
- Developing and implementing a new compliance surveillance system for Equity and Fixed-Income trading for national retail brokerage firms
- Conducting OATS reporting audits for a leading national back-office provider and brokerage firms
- Advanced user of Thompson One/BETA, Smart Station/Supervision, Bond Desk, LAVA, Bloomberg and NASDAQ Trader, Schwab (Compliance 11), Protegent PTA, FINRA OATS, Excel and Access Databases
- Consultant, Spherion and First Place Staffing
- Vice President, Fixed-Income/Equity Trader, Wachovia Securities (now Wells Fargo Advisors)
- AVP, High-Net Worth Client Analyst, Wachovia Securities
- Financial Consultant, The Financial Group of Virginia