Financial Compliance Consulting Services and Solutions

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Strategy, transformation, and risk mitigation are required for growth.

Compliance Solutions for Success

At Oyster Consulting, we understand the challenges businesses face today. We know what it takes for your firm to be efficient, agile, compliant, and successful. That’s why we’ve assembled a team of industry experts with decades of financial regulatory consulting experience.

Our consultants help our clients thrive, even when faced with operational or compliance challenges. With backgrounds at the largest firms in the industry as CCOs, COOs, CEOs, CIOs and CTOs, they’ve seen it all – from operations and compliance to strategy and contract negotiations.

So, why not benefit from our experts’ extensive on-the-ground experience and knowledge of current industry trends? Let Oyster Consulting help take your business to the next level. Continue reading to explore our financial compliance services.

More About Who We Are

Consulting and Outsourcing Services

At Oyster Consulting, we provide comprehensive consulting and outsourcing services tailored to meet the regulatory requirements of financial services organizations. Our dedicated team of Compliance, operations, and strategic professionals collaborate under one roof to deliver expert guidance and support.

How We Help:

  • Regulatory Compliance Consulting: Our experienced consulting team assists financial services organizations in navigating the complex regulatory landscape, ensuring ongoing compliance with regulatory requirements.
  • Risk Management: We work closely with you to identify and mitigate risks, safeguarding your firm.
  • Former Regulators and Industry Experts: Many of our experts have backgrounds as former regulators at FINRA and the SEC. Our team includes professionals who have held C-suite positions at the largest firms in the financial services industry. Leverage our experience to get the insights you need.
Explore Our Consulting Services

Comprehensive Testing

In today’s fast-paced regulatory environment, comprehensive compliance testing is essential for financial services organizations. At Oyster Consulting, we offer accurate, quick, and thorough testing services to ensure ongoing compliance with regulatory requirements.

How We Test:

  • Comprehensive Testing: Our consultants conduct thorough testing for all types of broker-dealers and RIAs. These include Best Execution reviews, AML testing, Rule 3110 compliance, branch exams, and RIA annual reviews.
  • Industry Perspective: We’ve tested firms of all sizes and complexities. We possess a unique perspective and increased industry awareness to efficiently address compliance issues.
  • Regulatory Expertise: Our consultants stay up-to-date with regulatory changes and requirements. Your firm will remain compliant in today’s ever-changing regulatory landscape.
Explore Testing Services

Strategy and Operations Specialists

Efficient operations and strategic planning are crucial for success in the financial services industry. At Oyster Consulting, our Strategy & Operations specialists offer tailored strategies to optimize operational efficiency and compliance.

How We Strategize:

  • Operational Efficiency: We assist with trade reporting, trade desk compliance, gap analysis, business model optimization, succession planning, clearing firm contract review, and more. We streamline operations and maximize profitability.
  • Industry Experience: Our team’s experience enables us to find areas of opportunity and develop tailored strategies for your firm.
  • Platform Optimization: Take advantage of our expertise in platform conversions, system alignment, legacy system migration, and process optimization to enhance operational efficiency.
Explore Our Strategy Services

Oyster Solutions – Streamlining Compliance Management

As a compliance professional, managing new regulatory requirements, due diligence, and ongoing compliance can be overwhelming. Compliance management systems can be confusing. With Oyster Solutions, you can keep track of everything you must do to follow the rules and keep your business running smoothly. Transition from complicated spreadsheets to simplicity with Oyster Solutions.

How Oyster Solutions Helps:

  • Simplified Compliance Management: Our unique software consolidates all compliance tasks into a single platform for effortless access and monitoring. Manage rules, tasks, documentation, and reports all in one place.
  • Automated Regulatory Compliance: Oyster Solutions automates and integrates regulatory requirements and risk management with your policies, procedures, and reporting. This ensures comprehensive oversight and adherence to regulations.
  • Enhanced Efficiency and Oversight: With Oyster Solutions, you can streamline compliance management, enhance efficiency, and gain valuable oversight into your firm’s compliance processes. Concentrate on strategic initiatives and business growth.
Learn More About Our Software

We ensure our clients have the knowledge and tools they need to thrive today, and in the future. Through our services, we establish strong relationships—we want to be your first call for objective advice, industry expertise and sensible solutions.

Our Process

Step 01


We listen to your goals and priorities. We foster significant transformation by encouraging a dialogue that goes both ways.

Step 02


We make a plan and schedule to give your team the best financial service industry experience for your project.

Step 03


Oyster ensures regular communication to oversee and strengthen the financial compliance management project objectives while accomplishing project tasks.

Step 04


Oyster offers financial services regulatory compliance support to meet your goals and expectations.

The Oyster team has always shown they have in-depth industry knowledge that has proven to be invaluable to us as a firm, from looking at issues strategically to helping implement efficiencies. We have never been disappointed with their engagements.

Chief Risk Officer National Broker-Dealer