Compliance

Our compliance professionals balance practical solutions with a commitment to regulatory integrity 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 Support that is agile, reasonable and satisfies regulatory burden.

Common sense is not all that common.

Reasonable compliance programs sometimes don’t feel all that reasonable. When your firm is ready to work with a governance, risk and compliance leader to design and implement compliance that works for employees, clients, business goals and regulators, call Oyster Consulting.

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Get in front of enforcement action and design a response system of compliance that works within your firms goals, structure and risk tolerance.

The SEC levied 4.7 billion in fines in 2020 – Oyster’s compliance services are less than that. Value Added. Period. In all seriousness, Oyster can define, design, implement, and manage that for less than the cost of a finding and without the bad press of an enforcement action.

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

More About Oyster Solutions

Our Process

Step 01

Kickoff

Starting with key stakeholders and leadership, we make sure your project goals are understood and aligned to project deliverables.

Step 02

Plan

We customize your project timeline, scope and deliverables. We then translate these into key milestones for quality control and assurance.

Step 03

Execute

Oyster monitors and reinforces project goals while achieving project deliverables.

Step 04

Deliver

Whether it 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.

Doug Kentfield President, Steward Partners Global Advisory