Our Clients

Broker-Dealer

Broker-Dealer Consultants

Expert Advice and Support for Your Business

Broker-Dealer Solutions

Oyster Consulting provides tailored, beginning-to-end services for broker-dealers. Our experts have taken many firms successfully through the New Member Application (NMA) and Continuing Member Application (CMA) process. We can streamline the registration process so you can get up and running as quickly as possible. As former regulators, our registration experts have unique insight into the registration process.

When it comes to growing your firm, our experts have been in your position, working at some of the largest broker-dealers in the industry. We understand the complexities and challenges of running a successful broker-dealer. Among broker dealer compliance consulting firms, our compliance consultants will help you define your goals and how to get there, supported by industry intelligence and benchmarks. With our comprehensive services, you can trust that we will help you reach your goals.

Balanced Regulatory Requirements

We help balance regulatory requirements with your day-to-day operations. Efficient and compliant written supervisory procedures are essential to protecting your firm and your clients. Aligning process to Policy and Procedures ensures that employees have an approved process to follow each and every time, reducing errors and compliance violations. We create broker dealer compliance procedures that reflect your business model, ensuring consistent results.

Oyster’s broker dealer consultants can create your compliance program, validate that your trade desk operations are compliant, test your controls and even provide outsourced resources for key positions such as COO (Chief Operating Officer), CCO (Chief Compliance Officer) and FINOP. We have the Compliance, Operations and Strategic professionals you need, no matter the size or type of broker-dealer. With our expertise, you can be sure that you are optimizing resources while aligning programs to manage risk and achieve compliance.

Leverage Our Expertise and Knowledge

We’ll help you optimize and support front-, middle- and back-office functions so you can stay focused on your clients and your goals. Our broker dealer clients leverage our experience and industry intelligence, from vendor contract negotiations to developing and implementing an efficient, compliant operating model.

We have the insights and benchmarking that other broker dealer consulting firms do not. Our experience and relationships in the industry means we know the vendors and systems, their strengths and weaknesses. Through gap analysis and system reviews, our team of Broker Dealer Operations and Strategic professionals can help you design and build your roadmap to long-term success.

The Oyster Difference

Oyster’s consultants are former industry executives and regulators working with broker dealers. We understand the issues you face and provide practical solutions, helping you reframe your toughest challenges. From Compliance and Operational improvements to creating long-term value through Strategic Planning, our experts have the experience and solutions to fit your needs.

In addition to Compliance services, we offer a wide range of Strategy and Operational services. Our experts leverage their knowledge of industry firms, benchmarks, platforms and proven agile methods to help you meet and overcome your toughest challenges.