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Independent AML Review
Annual Review
New and Continuing Membership Applications
Exam Preparation and Guidance
WSPs and Internal Controls
Branch Office and OSJ Reviews
Regulatory Mandated Consulting
Continuing Education
Other Regulatory Matters
Crisis Management
Investment Advisor Services
Hedge Fund Registration
About MCD

Matt Dwyer- Owner and President of MCD  Consulting  

Matt Dwyer has over 15 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.


MCD Consulting
Sensible Solutions.  Exceptional Service.

email:  info@mcd-consulting.com
phone:  815.295.3994

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