AnnGriffith Ann Griffith, Esq. Managing Director 703.304.2682 vCard

Ann has over 20 years of expertise in senior regulatory, compliance and legal counsel roles in the financial services industry. She brings extensive experience in investment advisor, broker-dealer, capital markets, and international regulatory and compliance matters. In addition to her senior roles with the World Bank, FBR Capital Markets and Credit Suisse First Boston, Ann’s broad experience includes acting as counsel in various positions with FINRA and the SEC. Ann’s experience with Oyster includes working with broker-dealers and investment advisors to develop and implement compliance programs and providing advice on supervisory, and registration issues as well as drafting Written Supervisory Procedures and policies and procedures.

Expertise

  • Developed and implemented multiple broker-dealer and investment advisor compliance programs, conducted annual reviews, mock audits and AML audits for regional and national firms
  • Provides advice on broker-dealer and investment advisor compliance, supervisory, and registration issues as well as drafting policies and procedures
  • Active in development and implementation of compliance programs at an international financial institution, which required involvement in transactions in over 100 countries
  • Overall responsibility for compliance programs for the broker-dealer, investment advisor and affiliated entities for an international investment banking firm
  • Responsible for FINRA’s Testing and Continuing Education Program, including representing FINRA on the development of the Series 79 Capital Markets examination and overseeing the FINRA examination waiver program and the content of all FINRA examinations and continuing education programs
  • Responsible for oversight and supervision of bank and broker-dealer regulatory , registration, training, and branch examination programs at an international financial services and investment banking firm
  • Conducted inspections and investigations of various regulated entities, including broker-dealers, investment advisors, and stock exchanges in the SEC’s Office of Compliance Inspections & Examinations

Career Highlights

  • Compliance Counsel for the International Finance Corporation, the World Bank’s capital raising subsidiary
  • Deputy General Counsel and Director of Regulatory Affairs and Compliance, FBR Capital Markets
  • Associate Vice President and Director, Testing and Continuing Education Department, FINRA
  • Special Counsel to the Executive Vice President, Market Regulation Department, FINRA
  • Director and Counsel, Legal and Compliance Department, Credit Suisse First Boston
  • Vice President, Corporate Compliance Department, Bankers Trust Company
  • Special Counsel, Office of Compliance Inspections & Examinations and Division of Market Regulation, U.S. Securities & Exchange Commission

Education, Accolades and Affiliations

  • Juris Doctor, University of Illinois
  • B.A., English Literature, University of Illinois
  • Member, Illinois State Bar and US District Court for the Northern District of Illinois
  • Languages: Italian (Conversational), French (Conversational)
  • Editorial Board, Journal of Securities Compliance
  • FINRA Series 24 Committee
  • FINRA Series 7, 9, 10 and 24 registrations (Registrations are typically inactive, but may be used when appropriate to perform interim functions for our clients.)

Publications and Presentations

The SECS 2017 Priorities: What They Are and What Compliance Professionals Need to Know– NSCP Currents, February, 2017..

Proposed New AML Regulations for Investment Advisors – Blog Post, August 28, 2015