Nolan Hughes

Consulting offers me the chance to leverage my knowledge and experience to provide clients with thoughtful and balanced solutions.

Nolan Hughes is a compliance executive with over 18 years of industry experience. Prior to joining Oyster, Nolan served as the CCO for three affiliated registered investment advisor firms, Deputy CCO for a rapidly growing hybrid RIA, CCO-Advisory Services for a dual registrant firm and various other compliance roles including capital markets. Nolan’s broad experience and knowledge allows him to provide comprehensive compliance support and practical forward- thinking solutions for Oyster’s clients.

Expertise

• Creation and implementation of compliance programs focused individual firm needs and resources.
• Design and implementation of surveillance and oversight processes for registered investment advisor and Broker-Dealer firms.
• Utilization of technology solutions to enhance surveillance and oversight functions.
• Provide compliance-focused guidance on the Integration of new business lines for RIA-only, hybrid RIA and dual registrant platforms.
• Provide thoughtful and forward-thinking compliance solutions with a flexible and supportive approach for dual registrant, RIA only and hybrid RIA firms.
• Design, implementation and testing of policies, procedures and supervisory controls tailored to firm specific business models.
• Development and implementation of branch audit programs including OSJ audits and branch examinations.
• Performing compliance program testing and analysis including the creation of SEC Rule 206(4)-7 annual report for RIA firms.
• Developing regulatory filings to include Form ADV, Form CRS, 13F and 13H.
• Develop and assist with the implementation of policies and procedures to comply with TRACE and RTRS reporting requirements.
• Development of policies and procedures tailored to capital markets compliance including fixed income, equity research, equity sales, trading and investment banking.