Managing Director
Current
Aug 2023 - Present
AeroLeads people directory · profile
John Ivan Email & Phone Number
Managing Director - Oyster Consulting LLC
at
Oyster Consulting, LLC
1 work email found
@capitalforensics.com
3 phones found area 727
LinkedIn matched
✓ Verified May 2026
4 data sources
Profile completeness 100%
Current company
Role
Managing Director - Oyster Consulting LLC
Location
New York City Metropolitan Area, United States, United States
Who is John Ivan? Overview
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Quick answer
John Ivan is listed as Managing Director - Oyster Consulting LLC at Oyster Consulting, LLC, based in New York City Metropolitan Area, United States, United States. AeroLeads shows a work email signal at capitalforensics.com, phone signal with area code 727, and a matched LinkedIn profile for John Ivan.
John Ivan previously worked as Managing Director at Oyster Consulting, Llc and Managing Director at J.S. Held Llc. John Ivan holds Jd, Banking, Corporate, Finance, And Securities Law from University Of Richmond School Of Law.
Company email context
Email format at Oyster Consulting, LLC
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{first}.{last}@capitalforensics.com
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AeroLeads found 1 current-domain work email signal for John Ivan. Compare company email patterns before reaching out.
Profile bio
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.
Listed skills include Securities, Finra, Equities, Capital Markets, and 18 others.
Current workplace
John Ivan's current company
Company context helps verify the profile and gives searchers a useful next step.
8 roles
John Ivan work experience
A career timeline built from the work history available for this profile.
Managing Director
Jan 2023 - Aug 2023
Managing Director
- 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.
- Regulatory Consulting
- Big Data Mining & Quantitative Analysis
- Forensic Accounting
- Internal Investigations
- Arbitration Tools
Jan 2018 - Jan 2023
Svp Chief Compliance Officer
Chief Compliance Officer for Raymond James & Associates, Inc. (RJA)
Jan 2016 - Jan 2018
Managing Director, Compliance Executive
Managing Director and Compliance Executive for all Product, Investment Advisory and Retirement Services businesses at Bank of America Merrill Lynch and US Trust.
Sep 2012 - Nov 2015
General Counsel
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.
Apr 2005 - Aug 2012
Svp Compliance And Legal
Managed Global Compliance for Private Wealth Management.Handled Regulatory Investigations and Enforcement matters.
Apr 2000 - Mar 2005
Managing Director
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.
May 1984 - Mar 2000
2 education records
John Ivan education
Jd, Banking, Corporate, Finance, And Securities Law
University Of Richmond School Of Law
Bachelor Of Arts (Ba), American Government And Politics (United States)
University Of Virginia
FAQ
Frequently asked questions about John Ivan
Quick answers generated from the profile data available on this page.
What company does John Ivan work for?
John Ivan works for Oyster Consulting, LLC.
What is John Ivan's role at Oyster Consulting, LLC?
John Ivan is listed as Managing Director - Oyster Consulting LLC at Oyster Consulting, LLC.
What is John Ivan's email address?
AeroLeads has found 1 work email signal at @capitalforensics.com for John Ivan at Oyster Consulting, LLC.
What is John Ivan's phone number?
AeroLeads has found 3 phone signal(s) with area code 727 for John Ivan at Oyster Consulting, LLC.
Where is John Ivan based?
John Ivan is based in New York City Metropolitan Area, United States, United States while working with Oyster Consulting, LLC.
What companies has John Ivan worked for?
John Ivan has worked for Oyster Consulting, Llc, J.S. Held Llc, Capital Forensics, Inc., Raymond James Financial, Inc., and Bank Of America Merrill Lynch.
How can I contact John Ivan?
You can use AeroLeads to view verified contact signals for John Ivan at Oyster Consulting, LLC, including work email, phone, and LinkedIn data when available.
What schools did John Ivan attend?
John Ivan holds Jd, Banking, Corporate, Finance, And Securities Law from University Of Richmond School Of Law.
What skills is John Ivan known for?
John Ivan is listed with skills including Securities, Finra, Equities, Capital Markets, Securities Regulation, Hedge Funds, Series 7, and Corporate Governance.
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