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Gain a better understanding of regulatory risk assessments, the regulator exam process and reasoning, so your firm can have more successful exams
Understanding what a regulator is doing and why is an important part of having a successful exam. Join our panel of former regulators and industry experts to learn how FINRA’s Risk Assessment approach is used.
Jeff joined Robert W. Baird in 1993. He has served as Baird’s Chief Compliance Officer since 2002. Prior to that, he worked ten years at Blunt Ellis & Loewi, as Assistant Compliance Director, and for two years at Kemper Clearing Corporation as Director of Internal Audit.
Jeff has served as a member of and was Chair of the Securities Industry Continuing Education Council, and is a former member of FINRA’s Series 14 Exam Committee. He served as a member and Chair of FINRA’s District 8 Committee from 2008-2011, and on FINRA’s Midwest Region Committee from 2017 - 2019. He is a member of SIFMA’s Compliance and Regulatory Policy Committee and the SIFMA Regional GC/CCO Roundtable.
Ed Wegener, Managing Director at Oyster Consulting, is an innovative compliance, risk management and supervisory controls expert. He has a deep understanding of Federal Securities Laws, the rules of self-regulatory organizations, 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 at FINRA, he was responsible for Regional risk assessment, examination and investigation programs. Ed assisted in the development of FINRA’s risk-based examination program. He also developed and managed FINRA’s first Digital Asset and Cybersecurity examination programs.
As CEO of Oyster Consulting, Buddy has led the charge to create a successful organization belief that transforms experienced industry practitioners into consultants adding more value for our clients. Oyster helps our clients successfully start, grow and run their broker-dealers, investment advisors and exchanges. By focusing holistically on one industry, Oyster’s services have helped our clients become more profitable through revenue enhancements, optimizing how they use technology, and negotiating with service providers to achieve their best outcomes. Oyster’s outsourced compliance and CFO/FINOP teams provide excellent results helping our clients deliver products and services in a way that mitigates regulatory and financial risks. Buddy has also overseen the development of Oyster Solutions software. This software has created a 30% improvement in efficiency by organizing, integrating and automating governance, risk and compliance functions with a design that stays ahead of the accelerating pace of change.
EVP - Compliance, Global Relay
Managing Director, Oyster Consulting
CEO and Founder, Oyster Consulting