Mary Catherine’s nearly 30 years of brokerage operations management experience, with deep expertise in supervisory controls testing, AML program management, and operational process review, have anchored her work at the firm since 2009.
She began her career in the Credit and Margin department of a regional broker-dealer and rose through supervisory and management roles across multiple operational areas of a national financial firm, ultimately serving as Senior Vice President of Account Services at Wachovia Securities. At CRC Oyster, she works with clients ranging from regional to national firms on Rule 3120 and 3130 supervisory controls testing, independent AML program testing, EDD and KYC reviews, penny stock transaction flow analysis, Rule 17a-4 electronic storage media testing, and business continuity planning.
Mary Catherine holds a Bachelor of Science in Business Administration from Longwood University and completed the Securities Industry Institute Program at the Wharton School and executive programs at Virginia Commonwealth University and Wachovia Securities.
