Compliance

Our compliance professionals balance practical solutions with a commitment to regulatory compliance to help your company thrive.

Oyster’s experts have the FINRA, SEC and state regulatory experience to help solve complex regulatory challenges that are critical to your business. We provide Compliance services that can help your firm mitigate risk, support regulatory compliance, review your compliance program or provide ongoing compliance support.

Common sense is not all that common.

Reasonable compliance programs meet regulatory burden and support internal process, mitigate risk and effectively enforce internal controls. When your firm is ready to work with a governance, risk and compliance leader to design and implement a compliance program that works for employees, clients, business goals and regulators, call Oyster Consulting.

Contact Us

Leverage our full suite of services by harnessing the power of our governance, risk and compliance software, Oyster Solutions. Our dynamic GRC software package gives you the tool to modernize and simplify your compliance program.

Enforcement Actions

The SEC levied billions in fines last year. Oyster’s compliance experts can design, implement, test and manage your regulatory compliance program to help your firm stay compliant. A reasonable ongoing compliance program for Registered Investment Advisors, Broker Dealers or other regulated entities supports internal efforts rather than hinders them.  Let Oyster Consulting’s management services and consulting service teams help your business stay compliant.

Our Process

Step 01

Discover

We listen to your goals and priorities. We create transformative change by inviting a two-way discussion.

Step 02

Plan

We customize your project by creating a scope and timeline to deliver the best experience for your team.

Step 03

Implement

Oyster maintains consistent communication to monitor and reinforce project goals while completing project deliverables.

Step 04

Deliver

Whether your need is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations.

Oyster Consulting has been a key partner of ours for a variety of compliance, strategic and operations projects.

Leading Independent Private Financial Services Firm