Miriam Wyckoff

Miriam Wyckoff is in the Financial Services practice where she focuses on assisting financial institutions to strengthen their regulatory compliance, supervisory and control programs. Ms. Wyckoff primarily supports broker-dealers and wealth and asset managers in assessing the design and effectiveness of their compliance frameworks and implementing enhancements aligned with regulatory expectations.

Ms. Wyckoff’s experience includes leading comprehensive regulatory compliance assessments — covering governance structures, supervision models, policies and procedures, control-to-rule mapping, process reviews and validation testing. She has performed enterprise-level assessments related to SEA 15c3-3 (customer asset protection) and SEA 15c3-5 (market access) and routinely advises clients on improving their supervisory and oversight programs to better manage regulatory risk.

In addition to her program enhancement work, Ms. Wyckoff has supported targeted reviews and investigations driven by inquiries and enforcement actions from the SEC, FINRA and FinCEN and has experience conducting analyses related to potential market manipulation, inaccurate trade reporting and rogue trading. She has also led compliance testing initiatives and designed and implemented risk-based sampling methodologies for fee and transaction-related remediation efforts.

Ms. Wyckoff holds an M.B.A. in Accounting from Baruch College, City University of New York, and a B.A. in English from the University of Utah. She is a certified public accountant in the State of New York.