Matt Dwyer has over 20 years of compliance experience. He served as a Senior Compliance Examiner at FINRA (formerly NASD). While at FINRA, Matt gained hands-on experience with on-site and for-cause member firm examinations in the areas of brokerage accounting, brokerage operations, supervisory structures and controls, internal controls, written supervisory procedures, Anti-Money Laundering (AML) and continuing education.

Additionally, Matt provided testimony to NASD and NAC hearing panels regarding
examination findings.

After leaving FINRA, Matt Dwyer served as the Head of the Internal Audit Group for
Mesirow Financial. Under Matt's direction, the Internal Audit Group was responsible for coordinating regulatory exam as well as completing the annual audit plan, the branch office review program (Broker/Dealer and RIA locations) and worked closely with IT on the firm's Business Continuity and Disaster Recovery Plan.

Today, Matt provides services and solutions to broker/dealers and registered investment advisors that help them fulfill their regulatory and compliance obligations.

Matt also provides expert witness testimony for investment related cases in the areas of: suitability, churning, brokerage accounting, brokerage operations, securities fraud, investment banking, mutual funds, variable annuities and RIA activities.

Matt Dwyer is a member of the National Association of Compliance Professionals (NSCP), Public Investor Arbitration and Bar Association (PIABA) and Association of Certified Fraud Examiners (ACFE). He holds an MBA degree from Olivet
Nazarene University. Matt also serves as an adjunct faculty member at Olivet Nazarene University where he has taught undergraduate classes and developed curriculum in the areas of Finance, Economics and Statistics.

RESEARCH & PUBLICATIONS

Dwyer, M.C. Planning & Conducting Annual Broker-Dealer Reviews. NSCP® Currents Journal. December 2013.

Dwyer, M.C. Preparing for Broker-Dealer Examinations. Wolters Kluwer Practical Compliance & Risk Management. April-May 2012.

Dwyer, M.C. Mysteries vs. Puzzles- Recognizing and Addressing the Differences

Between Compliance “Mysteries” and “Puzzles”. Wolters Kluwer Practical Compliance & Risk Management. September-October 2011.

Kotz, H.D. Financial Regulation and Compliance: How to Manage Competing and Overlapping Regulatory Oversight. Wiley Financial Services Series. 2016. Quoted on pages 77-83.

PRESENTATIONS

Dwyer, M.C., From Reasonably Designed to Perfectly Designed: Best Practices for the Annual Review Process. Wolters Kluwer Practical Compliance. May 2015 (Webinar).

Dwyer, M.C., Cherrier, K. What You Need to Know About Suitability and Working with Customers. National Society of Compliance Professionals. May 2015

Dwyer, M.C., Ringo, W. Regulatory Trends and Updates. National Society of Compliance Professionals. April 2013

Dwyer, M.C., Mannon, J. 2012 Investment Adviser Chief Compliance Officer Priorities - Preparing for a Successful Year While Confronting Regulatory Change.
Wolters Kluwer Practical Compliance. March 2012 (Webinar).

Dwyer, M.C. , Downing, J. Conducting Broker-Dealer Compliance Testing and Risk Assessments. National Society of Compliance Professionals. April 2011.