Mark Norman

The regulatory and compliance burden facing firms today is unprecedented. My 20 years of regulatory experience gives Oyster’s clients an insider's view to proactively adapt to rule changes and compliance challenges.

Mark Norman is a securities compliance professional with nearly 20 years of regulatory/compliance experience. He has worked with broker-dealers of all sizes and complexities. During his 20 years in the industry, Mark has held multiple roles within FINRA including cycle examiner, cause examiner, cause intake examiner and coordinator. During his tenure at FINRA he acquired and advanced understanding of firm business models, business lines, customer bases, products and services.

Expertise

• Supervisory System and Controls Testing
• Development of Supervisory Systems and Procedures
• AML Program Testing
• Risk Assessments
• Support for regulatory examinations, investigations and inquiries
• Advanced-level knowledge of securities rules and regulations
• Branch Office Inspections
• Investigations of varying risk and complexity
• Net Capital Assessments

Career Highlights

• 20+ Years with FINRA
• Conducted comprehensive regulatory examinations of broker-dealers
• Conducted complex sales practice, fraud and financial investigations
• Conducted on-going risk-assessments of FINRA member broker-dealers
• Conducted assessment of broker-dealer net capital and liquidity