Theresa MullerCHIEF COMPLIANCE OFFICER
Theresa serves as Chief Compliance Officer for Brogan Financial, a position she’s held since 2013, and as a Senior Consultant with Oyster Consulting LLC, a leading service provider to the financial industry. She is an accomplished compliance professional specializing in regulatory compliance and risk management for investment advisers.
As CCO, Theresa is responsible for ensuring Brogan Financial’s conformity with the regulatory requirements for registered investment advisers and our fiduciary duty to clients. She is responsible for the development and monitoring of the firm’s compliance program, including policies, procedures, internal controls and code of ethics.
Theresa has been with Oyster Consulting since 2013, serving clients with a focus on registered investment advisers, hedge funds and funds of funds. Prior to joining Oyster, Theresa was Vice President of Compliance and Paralegal for Wealthcare Capital Management LLC, a billion-dollar registered investment advisor in Richmond, Virginia. Theresa spent nine years in various legal and compliance positions with Ivy Asset Management, a former New York-based fund of hedge funds and subsidiary of the Bank of New York Mellon.
Theresa earned her BBA from James Madison University. She also holds a certification in paralegal studies from Hofstra University – University of Continuing Education in New York.