Buddy Doyle is a passionate and innovative executive and has been in the financial services industry for over 30 years. Over the past ten years, he and his team have built an award winning organization serving hundreds of clients in the United States and Bermuda with consulting, outsourcing and software solutions.
Prior to starting Oyster Consulting, Buddy was a Senior Vice President at Wachovia Securities LLC (now Wells Fargo Advisors) where he held leadership roles in that growing organization in Operations, Finance, Commodities, Technology, Compliance and the Private Client Group. He gained experience working with both small and large firms by starting his career at Wheat, First Securities in 1987, when the firm had 50 offices and 500 brokers in the Mid-Atlantic region. Through 10 acquisitions and mergers, the firm evolved into one of the largest in the United States.
As CEO of Oyster Consulting, Buddy has led the charge to build a successful organization dedicated to delivering the highest quality results to our clients, employees, and shareholders. Oyster has helped our clients successfully start, grow, run and protect their broker-dealers, investment advisors and exchanges. Oyster’s consulting services have helped our clients become more profitable through revenue enhancements and optimizing how they use technology and service providers. Oyster’s outsourced compliance and CFO/FINOP teams have provided excellent results in helping our clients deliver products and services in a way that keeps them safe from fraudsters, mitigates regulatory and financial risks, and protects their reputations. Oyster Solutions software has created efficiency by organizing and automating governance, risk and compliance functions.
Education, Accolades and Affiliations
- Graduate of Virginia Commonwealth University with a Bachelor of Science in Business Administration
- Member of the NSCP
Publications and Presentations
Emerging Technologies – Existing Regulations – Panelist, NSCP-Oyster Consulting webinar, May 1, 2018
The SEC’s 2017 Priorities: What They Are and What Compliance Professionals Need to Know– NSCP Currents, February, 2017.
SEC Could Start Issuing More Exam Fines for Poor Cybersecurity Controls — Buddy Doyle — Intra Links Fund Space, Return to Cybersecurity Update, October 13, 2015
“Best Practices for Selecting Governance Risk and Compliance Software” – Shannan Layette, Pete McAteer, Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer
“A Practical Guide for Handling Legacy Data” – Buddy Doyle – Practical Compliance & Risk Management for the Securities Industry – Wolters Kluwer