Theresa Muller Theresa Muller Senior Consultant 540.872.8964 vCard

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.

Expertise

  • 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.

Career Highlights

  • 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