Bill Reilly
Director at Oyster Consulting, LLC
- Role
- Director at Oyster Consulting, Llc
- Location
- Tallahassee, FL, US
- LinkedIn followers
- 500 followers
Experience
Director
Dec 2012 — Present · Tallahassee, FL, US
Bill joined Oyster Consulting in December 2012 after a more than 30-year distinguished career with the Florida Division of Securities and Office of Financial Regulation. During his employment with Oyster Consulting, Bill has established himself as a successful consultant providing essential compliance services to broker-dealers, investment advisors and industry professionals with deep regulatory knowledge. As a result of his regulatory knowledge, Bill leverages examination expertise and relationships with state and federal regulators and self-regulatory organizations when guiding clients through both proactive and reactive regulatory processes and compliance issues. Services provided by Bill include, among others, representing clients before the SEC, FINRA and state regulators to resolve registration and sales practice issues; developing and updating Written Supervisory Procedures for broker-dealers and Policies and Procedures Manuals for investment advisers; conducting third party examinations in conjunction with regulatory settlements; conducting FINRA Rule 3120 examinations for broker-dealers; conducting gap analysis and annual examinations for broker-dealers and investment advisers; providing guidance on the assessment, implementation, training, review process and creation of WSPs for the Department of Labor Fiduciary Rule for broker dealers; conducting branch office examinations required by state regulation; and, being retained as an expert witness to provide testimony in arbitrations and administrative proceedings.
Education
University of Florida
Bachelor of Arts (B.A.)
1974 — 1977
Skills
- Policies and Procedures
- Sales Practices
- Financial Crimes Investigations
- Compliance
- Equity Trading
- Supervision
- Testimony
- Series 24
- Financial Regulation
- Industry Outreach
- Back Office
- Uniform Combined State Law
- Etfs
- Securities Regulation
- Securities
- Investment Advisory
- Home Offices
- Alternative Investments
- Equities
- Financial Markets
- Industry Training
- Registration Services
- Broker-Dealer
- Customer Complaints
- Ofac
- Branch Offices
- Capital Markets
- Mutual Funds
- Risk Management
- Series 65
- Proactive/Reactive Exams
- U.s. Securities and Exchange Commission (Sec)
- Sec
- Finra
- Investments
- Fraud
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