Independent Consultant SEC/FINRA

Oyster Consulting provides Independent Consultant services in both pre- and post-regulatory settlement engagements.

As an Independent Consultant for Broker-Dealers and RIAs, Oyster has addressed many different FINRA and SEC regulator concerns around challenges related to enhanced due diligence, AML compliance, high frequency trading, annuities and supervision, just to name a few topics.

By engaging Oyster in a regulatory pre-settlement case, the SEC or FINRA will be shown that this matter is being taken seriously, having engaged an outside firm to collaborate and refine processes to meet regulatory guidance.

For post settlement, Oyster can help your firm reframe and transform your processes or policies to bridge the regulatory gaps.  These engagements often create long-term value for your firm by bolstering your compliance environment.

When Oyster acts as an Independent Consultant, you and your firm can rest assured that your regulatory challenges will be handled in a professional and succinct manner. Our multi-disciplined team will review the issues and advise implementation of new or streamlined policies and procedures.

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