Broker-Dealer Compliance Program Review

The Compliance Consulting You Need

As a Chief Compliance Officer, you need support managing risks. Keeping your compliance program up-to-date with evolving regulatory requirements is crucial for safeguarding your business. For dual-registered firms, we conduct Investment Advisor Annual Review mandated by SEC Rule 206(4)-7.

Our Compliance Consulting Experts Ensure:

• Your advisor program complies with regulations.
• It aligns with your firm’s strengths.
• It utilizes technology.
• It implements efficient processes.

Services to Help Your Compliance Team:

• Review prior regulatory examinations, findings and firm responses 
• Review Written Supervisory Procedures 
• Interview key personnel to assess written policies against actual procedures 
• Draft a report and discuss the findings with your firm 
• Provide guidance on best practices and industry standards

Oyster Solutions: Broker-Dealer Compliance Software

Our proprietary governance, risk and compliance software, Oyster Solutions, takes the worry out of managing your compliance requirements. There are consolidated dashboards, customizable workflows and user profiles designed for your business model. You’ll have a bird’s eye view of your firm’s compliance program. Our software is easy to use, so you get internal adoption.

The Oyster Difference

We understand the complexity of running a broker-dealer. Our broker-dealer consultants are former regulators and industry leaders who know the challenges you face. We have the real-world experience to help you overcome them.

Every compliance review varies. We’ll work with your leadership to understand your firm’s regulatory compliance goals and the policies backing them. Our process management and compliance experts will prioritize areas needing improvement. By altering ineffective policies, updating procedures, and simplifying processes, we aid your team in redesigning for lasting value.