Tim O’Sullivan, a Senior Adviser with StoneTurn, brings over three decades of experience in the financial services industry. His expertise spans forensic investigations, regulatory compliance, operational transformation, problem remediation, controls and risk management.

Tim is highly regarded for advising organizations and asset managers, as well as executives, boards, and key stakeholders, on complex operational and compliance issues.

Leveraging his extensive experience in operations management, technology, and consulting, Tim provides leading industry perspectives and develops pragmatic solutions tailored to address a company’s specific business challenges. His in-depth knowledge of Transfer Agent & Shareowner Servicing Operations has enabled him to advise a majority of the leading asset managers, broker-dealers, and service providers on intricate and emerging issues.

Throughout his career, Tim has led proactive operational transformations to help clients meet evolving business and regulatory demands. These engagements have included mergers and acquisitions, platform conversions, AML program development & testing, tax reporting compliance, and omnibus accounting oversight. Additionally, he has led forensic remediation investigations to address financial control and compliance failures, including fraud, pricing errors, market timing, commission violations, distribution in kind, disclosure violations, and unreconciled accounting failures affecting customer account valuations. By working closely with management and counsel, Tim has helped prepare fact-based assessments to proactively resolve matters with stakeholders and regulators.

Prior to joining StoneTurn, Tim held leadership positions with global consulting firms, including Deloitte. During his 18-year tenure at Deloitte, he served as a National Sector Lead/Co-Lead for multiple product offerings on behalf of Deloitte Advisory. He has been actively involved in industry groups such as the National Investment Services Company Association, where he has chaired committees and moderated events. Tim was also a founding member of the blue-ribbon task force at the Investment Company Institute (ICI), which developed the Financial Intermediary Controls and Compliance Assessment (FICCA) attestation framework for overseeing omnibus accounting providers. He has spoken in front of the SEC Division of Investment Management on Omnibus Accounting Trends and frequently appears as a panelist and speaker at industry and client conferences.

Tim began his career at a leading third-party Transfer Agent, overseeing shareholder accounting operations and managing Fund Company relationships. This included Mutual Fund and Corporate Stock Transfer services for corporate issuers and ADRs. He also led an internal consulting group focused on Quality/Productivity/MIS, providing strategic support to Senior Leadership while honing his programming, data, and business analytics skills.