Broker-Dealer Compliance Program Review

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Let’s ensure your program is practical and compliant to reduce the risk of disciplinary action.  

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.

Consult With Our Experts

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.
Oyster Solutions

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
Partner With Oyster Consulting

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.

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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.

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Case Study


Finding The Right Vendor

Firms often find that vendors fail to add value and become a source of frustration rather than support.


Industry Experts

Utilizing Oyster Consulting’s experienced and knowledgeable consultants transforms your vendors into valuable resources.


Overall Growth

Our consultants have specialized skills to help your firm achieve its business goals, growth objectives and maintain a system of reasonable compliance.

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Read The Full Case Study

Discover how our expert consultants can drive your success—get the full case study and learn more about how to partner with the right vendor for your firm’s success.

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