Theresa is an accomplished compliance professional with over 18 years of experience in the financial services industry specializing in regulatory compliance and risk management for investment advisors, with a focus on hedge funds and fund of funds. A certified paralegal, she has been responsible for the drafting and review of a wide spectrum of agreements, offering memorandums, and proxy materials. Prior to joining Oyster, Theresa was Vice President of Compliance and Paralegal for Wealthcare Capital Management LLC, a billion-dollar Registered Investment Advisor. Theresa spent nine years in various legal and compliance positions with Ivy Asset Management, a former New York-based fund of hedge funds and subsidiary of the Bank of New York Mellon.
- Worked as an outsourced CCO to an SEC-registered Investment Advisor
- Worked in an outsourced CCO Support Role to various state- and SEC-registered Investment Advisors
- Designed and implemented compliance programs including compliance calendars, policies and procedures and code of ethics
- Conducted on- and off-site mock audit examinations for various investment advisors
- Completed initial registration and design of compliance program for various Investment Advisors
- Converted and implemented client compliance calendar, gift reporting and personal trading monitoring to an automated system
- Submitted client regulatory filings including Forms ADV, U4, U5, 13F, 13H and PF
- Proficient in Microsoft Office including Word, Excel, Powerpoint and Outlook; Adobe Professional; Internet Explorer; Lexis; various code of ethics compliance systems; email and social media archiving systems; and numerous in-house proprietary systems.
- Vice President, Paralegal and Compliance Officer, Wealthcare Capital Management, LLC.
- Assistant Vice President, Paralegal and Compliance Officer, Ivy Asset Management Corp.
- Investor Reporting Representative, Delta Funding Corporation
Education, Accolades and Industry Commitments
- Bachelor of Business Administration, James Madison University
- Certification in Paralegal Studies, Hofstra University – University College of Continuing Education