Oyster Consulting gives financial services industry clients innovative tools to understand, automate, optimize and analyze crucial functions. We have the expertise, experience and licensed professionals you need, all under one roof. Our seasoned industry leaders provide consulting, outsourcing and software to help you plan, manage risk, achieve compliance and optimize operations so you can focus on running and growing your business.As an Associate Director, responsible for expanding Oyster’s Strategic Management, Operations and Technology practices, increasing the firm’s ability to help broker-dealers and investment advisors with process improvements, exploration of clearing options and execution of efficient, effective conversions.

Overall management of client services operations, branch offices and business units within the firm. Define and implement new procedures and systems, analyze and make recommendations in situations of unusual risk or size and responsible for regulatory compliance adherence. Oversee long term administrative planning to ensure operating units are positioned to meet and exceed client needs and enhance department revenue-generating capabilities. • Assessed and managed streamlining of organization structures and workflow to enhance operational efficiencies • Development and management of proactive process-improvement projects involving technology enhancements, outsourcing, reporting and customer service programs• Directed, coached and supported performance of operating area managers and associates – active participant in Baird’s Mentor Program, providing ongoing coaching and counseling to associates• Managed branch communications with Baird branch offices, meeting with Financial Advisors to provide smooth communication regarding company updates• Ensured compliance with regulatory guidelines and firm policies• Guidance for course of action in situations with potential/actual risk to the firm• Recruited, hired and retained Financial Advisors to enhance firm’s breadth of services • Selected as member of internal Baird Committees including the Credit Committee, Human Capital Advisory Council, Regulatory Review Committee and the Private Wealth Management Client Experience Committee• Ongoing assessment of departmental procedures to ensure compliance with regulatory requirements, making adjustments where necessary• Fully responsibility for timely and accurate reporting to the IRS and the client

Managed a 90+ person team consisting of 14 managers and 70+ analysts/client service reps. Maintained compliance with IRS, NYSE, Federal Reserve Board, and SEC regulations, as well as corporate policy. Member of Executive Credit Committee tasked with developing, implementing, and enforcing policy pertaining to credit extension, risk management, and approval of correspondent firms. Monitor and control asset concentration/risk and handle escalated issues; continuously train and develop staff toward excellence in customer service• Forecast and prepare annual operational budget for both departments.• Successfully transitioned departments through complex organizational changes involving staff size, client growth, and operational shift—focus from internal/in-house, front-office servicing to external clearing for external, correspondent firms.• Developed and implemented hands-on and classroom training—with testing—to ensure new personnel understand escalation thresholds and other policies.• Served as Management Trainee Coordinator/Mentor responsible for the recruitment and training of 10 candidates into an intensive program, which included Series 7 licensing and management/supervisory training.