Cindy Rosen
Senior Consultant
Consulting in an industry where I’ve spent my entire professional career is rewarding.
Cindy has 37 years of industry experience related to leading project and relationship management teams; AML/KYC/EDD processes including transactional reviews and writing high-risk client summaries; re-engineering business processes; providing broker dealer merger support; and managing all aspects of opening broker-dealer and independent advisor offices. Cindy began her career with Wheat, First Securities as a marketing manager in 1986. Prior to joining Oyster, Cindy provided leadership to the financial advisor recruiting and transition efforts for Wells Fargo Advisors and its multiple distribution channels.
Expertise
- Project Management (cross-functional teams; firm-wide projects)
- Enhanced Due Diligence risk screenings, reviewing transactional behaviors and patterns for International Financial Crimes Management for a major national brokerage firm
- Executing and processing regulatory client mailings
- Internal and external Communications Review (email/social media)
- Outside Business Activity Review
- Monthly Statement Review for an RIA
- Managing all aspects of opening offices in major markets, including real estate selection, technology, furniture and design, workforce training and resource planning
- Developing marketing campaign and public seminar materials (print)
- Developing recruiting strategies and enhancing lead flow
- Re-engineering processes related to brokerage forms production, revision, delivery, regulatory records retention and storage solutions
- Developing subject matter experts in key functional areas and streamlining communication processes as part of managing projects and managing resources
Career Highlights
- Senior Consultant, Oyster Consulting
- Vice President, Regional Business Consultant, Sales and Recruiting, Wells Fargo Advisors, LLC, St, Louis, MO
- Vice President, Senior Project Manager, Wachovia Securities, LLC, Richmond, VA
- Vice President, Manager, Enterprise Corporate Services, Wachovia Securities, Richmond, VA
- Vice President, Merger Relationship Manager, Wachovia Securities, LLC, Richmond, VA
- Vice President, Manager, National Corporate Expansion, Wachovia Securities, LLC, Richmond, VA
- Associate Vice President, Marketing Manager, Wheat, First Securities, Richmond, VA
