I am a Managing Director with Oyster Consulting where I provide compliance and risk management solutions for firms in the financial services industry including broker/dealers, registered investment advisors and investment funds. My background includes 22 years of regulatory risk management and compliance leadership with FINRA. I was most recently SVP and Midwest Regional Director. I have a deep understanding of Federal Securities Laws and the rules of self-regulatory organizations. I am known for strategic thinking and delivering high quality results. I am innovative and quickly stood up programs that optimized systems and processes for identifying and investigating compliance, AML, fraud and financial crime related risks. I also have experience with cyber security and digital assets related risks. I am a Certified Regulatory and Compliance Professional, Certified Fraud Examiner, and Certified Anti-Money Laundering Specialist. I am registered with the Series 7, 24, 63 and 79 registrations.