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Financial consulting vendor Oyster Consulting has hired Richard T. Chase as the new managing director of its New York office, officials say.
Oyster expects Chase’s hire to “continue Oyster’s expansion as a regulatory and compliance leader, enhancing its ability to help broker-dealers, exchanges and investment advisors respond to increasing SEC and FINRA expectations regarding trading and conduct rules,” the vendor says in a prepared statement.
Chase was formerly the chief compliance officer (CCO) and general counsel of RBC Capital Markets, the U.S. broker-dealer arm of the Royal Bank of Canada, officials say. Chase is well versed in regulatory, legal and compliance matters, and has also worked extensively with algorithmic trading and structured products, officials add.
Before his time at RBC, Chase served as head of regulation at the former American Stock Exchange, and was previously head of equities compliance at Lehman Brothers, officials say.
“Richard brings decades of experience in the capital markets arena, including sales and investment banking,” says George Jennison, Oyster Consulting president, in a prepared statement. “His skills will elevate Oyster’s service offerings related to sales and trading, research, investment banking and market structure,” Jennison says.
Need a Reprint?- Read More:
- CFTC,
- Dodd-Frank,
- Oyster Consulting,
- RBC,
- RBC Capital Markets,
- SEC,
- compliance,
- data management,
- operations
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