John Ivan

John Ivan Email and Phone Number

Managing Director - Oyster Consulting LLC @ Oyster Consulting, LLC
John Ivan's Location
New York City Metropolitan Area, United States, United States
John Ivan's Contact Details

John Ivan personal email

n/a
About John Ivan

Accomplished compliance professional and securities counsel. Led compliance and legal departments for financial institutions with a focus on Wealth Management and Full Service Brokerage and Advisory. Proactive business oriented approach which enabled business to incorporate compliance culture to reduce risk and achieve results. Deep experience with Dodd-Frank, D.O.L. and Fiduciary Standard Reform and SEC Dual Registrant priorities.• Chief Compliance Officer for two major Regional Firms with retail wealth management focus but full service business lines including Capital Markets and Equity and Fixed Income Trading. Strengthened teams and all aspects of ever changing Compliance responsibilities. Managed dozens of examinations and initiated proactive periodic meetings with regulators.• As CCO and General/senior counsel oversaw all manner of investigations and enforcement matters. Engineered innovative Auction Rate Securities settlement with FINRA avoiding prolonged multi-regulator involvement. Resolved Stock Loan, Insider Trading Program and Market Timing matters with root cause analysis and program improvements. • Most recent focus on Complex Product, New Product, Retirement and Dual Registrant has involved deep experience with regulatory expectations and successful examinations and therefore well prepared for upcoming reform and continued regulatory review.

John Ivan's Current Company Details
Oyster Consulting, LLC

Oyster Consulting, Llc

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Managing Director - Oyster Consulting LLC
John Ivan Work Experience Details
  • Oyster Consulting, Llc
    Managing Director
    Oyster Consulting, Llc Aug 2023 - Present
    Glen Allen, Va, Us
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  • J.S. Held Llc
    Managing Director
    J.S. Held Llc Jan 2023 - Aug 2023
    Jericho, Ny, Us
    View
  • Capital Forensics, Inc.
    Managing Director
    Capital Forensics, Inc. Jan 2018 - Jan 2023
    Palatine, Il, Us
    Managing Director - Regulatory, Compliance & Risk Since 1993, Capital Forensics, Inc. (CFI) has helped financial institutions, FORTUNE 500 companies and their legal advisors avoid and resolve complex, high-stakes legal and regulatory challenges. CFI’s major practice areas include: Expert Testimony & Litigation Support • Regulatory Consulting • Big Data Mining & Quantitative Analysis • Forensic Accounting • Internal Investigations • Arbitration Tools • Early Dispute Resolution • Employment Disputes.
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  • Raymond James Financial, Inc.
    Svp Chief Compliance Officer
    Raymond James Financial, Inc. Jan 2016 - Jan 2018
    St. Petersburg, Florida, Us
    Chief Compliance Officer for Raymond James & Associates, Inc. (RJA)
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  • Bank Of America Merrill Lynch
    Managing Director, Compliance Executive
    Bank Of America Merrill Lynch Sep 2012 - Nov 2015
    Charlotte, Nc, Us
    Managing Director and Compliance Executive for all Product, Investment Advisory and Retirement Services businesses at Bank of America Merrill Lynch and US Trust.
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  • Janney Montgomery Scott
    General Counsel
    Janney Montgomery Scott Apr 2005 - Aug 2012
    Philadelphia, Us
    Managed all Legal (Regulatory, Enforcement, Litigation, Arbitration and Employment) Affairs as well as Compliance Department. Advised Firm on Executive Committee and Chaired Compliance and Risk Committees.
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  • Goldman Sachs
    Svp Compliance And Legal
    Goldman Sachs Apr 2000 - Mar 2005
    New York, New York, Us
    Managed Global Compliance for Private Wealth Management.Handled Regulatory Investigations and Enforcement matters.
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  • Wells Fargo Advisors
    Managing Director
    Wells Fargo Advisors May 1984 - Mar 2000
    St. Louis, Missouri, Us
    Compliance Director for full service brokerage and investment advisory for WFA's predecessor and acquired firms First Union Securities and Wheat First Butcher Singer Inc.
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John Ivan Skills

Securities Finra Equities Capital Markets Securities Regulation Hedge Funds Series 7 Corporate Governance Mutual Funds Due Diligence Alternative Investments Investment Advisory Risk Management Financial Services Aml Compliance Broker Dealer Investment Advisor Compliance Asset Management Wealth Management Anti Money Laundering Financial Risk

John Ivan Education Details

  • University Of Richmond School Of Law
    University Of Richmond School Of Law
    And Securities Law
  • University Of Virginia
    University Of Virginia
    American Government And Politics (United States)

Frequently Asked Questions about John Ivan

What company does John Ivan work for?

John Ivan works for Oyster Consulting, Llc

What is John Ivan's role at the current company?

John Ivan's current role is Managing Director - Oyster Consulting LLC.

What is John Ivan's email address?

John Ivan's email address is jo****@****ics.com

What is John Ivan's direct phone number?

John Ivan's direct phone number is +172736*****

What schools did John Ivan attend?

John Ivan attended University Of Richmond School Of Law, University Of Virginia.

What skills is John Ivan known for?

John Ivan has skills like Securities, Finra, Equities, Capital Markets, Securities Regulation, Hedge Funds, Series 7, Corporate Governance, Mutual Funds, Due Diligence, Alternative Investments, Investment Advisory.

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