Audrey provides regulatory compliance consulting and operational support to FINRA-registered broker-dealers across every phase of the regulatory lifecycle, working directly with firm principals, Chief Compliance Officers, executive management, and legal counsel.
Prior to CRC Oyster, Audrey spent four years as a Compliance Consultant with Modern Regulatory Services, LLC, where she guided numerous broker-dealers through FINRA New Member and Continuing Membership Applications, drafting supervisory narratives, ownership and operational documentation, and responses to FINRA requests across a range of business models, from introducing broker-dealers to private placement, investment banking, and firms pursuing material expansions. A core part of her work is building and maintaining firms’ foundational compliance documentation, including Written Supervisory Procedures, Compliance Manuals, AML programs, Business Continuity Plans, cybersecurity policies, and continuing education plans tailored to each firm’s business model, and revising those programs as regulatory developments, examination findings, and new business activities require. She also prepares Annual Compliance Meeting and supervisory review materials, supports firm and individual registration through the CRD system (Forms U4, U5, BD, and BR, along with state registrations and amendments), and helps firms respond to FINRA examinations, regulatory inquiries, and deficiency letters while implementing corrective actions and strengthening supervisory controls.
Audrey maintains Series 7, 24, 63, and 82 licenses.
