Chief Compliance Officer
Mr. Dwyer is the Chief Compliance Officer for PL Capital. Prior to joining PL Capital in 2014, Mr. Dwyer founded a consulting firm, MCD Consulting, which specialized in compliance consulting for hedge funds, registered investment advisors and broker-dealers. Areas of specialization included annual testing, conflicts of interest, supervision, suitability, branch office operations and anti-money laundering. He also provided litigation support and expert witness services in securities related arbitrations.
Prior to founding MCD Consulting, Mr. Dwyer ran the Internal Audit Department at Mesirow Financial, a leading regional brokerage firm. While at Mesirow, Mr. Dwyer led the oversight of investment advisor and broker-dealer affiliates. Areas of review include retail and institutional investment management, private equity and hedge funds. Mr. Dwyer also created and directed the annual branch office review program, which included review of all investment advisory and broker-dealer branch offices on an annual basis. As head of Internal Audit, Mr. Dwyer also coordinated regulatory exams with the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and the Commodities and Futures Trading Commission (CFTC).
Mr. Dwyer began his career at FINRA where he served in a number of positions, including Senior Compliance Examiner. While at FINRA, Mr. Dwyer led and conducted investigations of FINRA firms and representatives opened through arbitration filings, customer complaints and employee terminations. He also conducted on-site investigations regarding potential rule violations by member firms and registered representatives in the areas of sales practice supervision, suitability, brokerage operations, brokerage accounting and Anti-Money Laundering. These investigations required that he issue reports of investigation and provided testimony at FINRA and NAC disciplinary hearings.
Mr. Dwyer serves as an Adjunct Professor at Olivet Nazarene University, where he earned an MBA in 2004. He teaches classes in the areas of Finance and Statistics.
He earned a Bachelor’s in Business Administration in 1998 from Governors State University