Mark brings nearly 20 years of regulatory and compliance experience, shaped by an extended tenure inside FINRA that gives him a true insider’s perspective.
Since joining the firm in 2022, he has worked with broker-dealers of all sizes and complexities, drawing on FINRA roles as cycle examiner, cause examiner, cause intake examiner, and coordinator – conducting comprehensive regulatory examinations, complex sales practice and fraud investigations, and ongoing risk assessments and net capital evaluations of member broker-dealers across a wide spectrum of business models. At CRC Oyster, Mark works with broker-dealers on supervisory systems and controls testing, AML program development and testing, risk assessments, branch office inspections, and regulatory examination support. He is also an active contributor to the firm’s thought leadership, having authored and presented on topics including AML best practices, risk assessments, regulatory exam preparation, and supervisory controls.
Mark holds a Bachelor of Arts in Economics and Business Administration with a concentration in Finance from Augustana College.
