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Ed Wegener

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Ed Wegener

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Ed Wegener

Ed Wegener serves as Oyster’s Managing Director of Governance, Risk and Compliance. Ed works with financial institution clients to help address complex compliance, regulatory and risk challenges through support, testing and guidance. He is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as 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 there, he was responsible for the Region’s risk assessment, examination and investigation programs. Ed was a member of the team that developed FINRA’s risk-based examination program and he developed and managed FINRA’s first Digital Asset and Cybersecurity examination programs.

Expertise

  • Supervisory Systems and Controls Development and Testing
  • Fraud Risk Assessments and Fraud System Development and Testing
  • AML Program Development and Testing
  • Regulatory Relationships and Examination Support
  • Internal Investigations
  • Compliance Technology and Tool Integration, Reg Tech
  • Branch Office Inspections
  • Digital Assets
  • Cybersecurity Program Assessments
  • Business Continuity Program Development and Testing
  • Developed policies and procedures for broker-dealers and investment advisors for compliance with the Department of Labor’s Prohibited Transaction Exemption.
  • Developed testing for compliance with the DOL’s PTE 2020-02 retrospective review requirements.
  • Worked with technology vendors to assist in the development of compliance tools around the SEC’s Regulation Best Interest and the Department of Labor’s PTE 2020-02
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Locations

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Headquarters