Gray Houghton Gray Houghton Senior Consultant 804.965.5400 vCard

Gray has been in the securities industry for nearly 25 years.  Gray is an experienced leader, having served on engagements as CCO and in CCO Support roles. Gray also has experience in Fixed Income Trading, budgeting and staffing, identifying and implementing technology solutions, and identifying metrics for measurement of activities and improvements to process and Project Management. Gray holds his PMP. Prior to joining Oyster, Gray managed a staff of 80, and was responsible for Credit/Margin risk and processing for 175 Clearing firms, Regulatory Reporting, New Accounts, Employee Stock Option and Restricted Stock sales processing for a national firm.

Expertise

  • Serves as Chief Compliance Officer to Oyster’s broker-dealer clients
  • Consulted with nationwide billion-dollar broker-dealer/investment advisor to remediate BETA System functionality for First Clearing Correspondent Firms
  • Conducted an overview of multiple firm platform configurations, assessing risk, documenting issues, and testing the results of these changes
  • Reviewed trading activity for all clearing firms to assess risk controls, and suggest and implement changes to current policy
  • Performed suitability trade reviews for multiple products including equities, mutual funds and variable annuities for registered investment advisors and broker-dealer clients
  • Performed Supervisory Principal Functions for regional broker-dealer approving Branch Office communications and approving release of funds
  • Completed a review of an Asset Management Client’s trading systems. Competence with Fixed Income systems AXYS, PERFORM, and MOXY trading platforms

Career Highlights

  • Credit/Margin Risk Manager, Wachovia Securities
  • Credit/Margin CCG Supervisor, Wachovia Securities
  • ESOP/144 Restricted Stock Manager, Wachovia Securities

Education, Accolades and Industry Commitments

  • B.A., History, Emory & Henry College
  • Executive Development Program, Virginia Commonwealth University Business School
  • FINRA Series 7, 24 & 63 registrations
  • PMI Project Management Professional (PMP) Certification