Tim Buckler

Oyster's engagements are successful because we take the time to fully understand our client's needs to ensure we can deliver the best in industry expertise to exceed those needs.

Tim has spent 15 years in the financial services industry, with a focus on project management, clearing platform selection and negotiation, cybersecurity, data analysis, and compliance. Tim’s experience includes project management support for clearing platform assessments and conversions, cybersecurity assessments, performing 12b-1 mutual fund share class selection and fees analysis for regulatory initiatives, 13F reporting, and performance reporting. 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
• Supports clearing platform assessments, selection, and negotiation
• Manages the PMO for various Operations, Compliance, and Trading engagements, including, current state assessments, off channel communication reviews, books and record migrations, and CAT assessments
• Performs cybersecurity current state assessments and gap analysis, testing companies’ policies, procedures, and controls against current cybersecurity threats
• Performs data analysis for mutual fund share class selection and fees in support of reconciliation of regulatory initiatives and exams
• 13F report data validation and submission
• Validates performance reporting processes and calculation

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)