Broker-Dealer and RIA Compliance Consulting

Streamlined Compliance Services

Whether you require outsourcing for compliance roles or consulting services on an as-needed basis, Oyster has you covered. We specialize in creating and implementing practical solutions that enhance the efficiency and effectiveness of your compliance team.

Together, we can reduce the risk of scrutiny and ensure a strong compliance culture within your firm through:

• Policy and Procedure Development: We can assist in creating and updating procedures and compliance manuals to align with the requirements outlined in FINRA Rule 3120, Rule 3110, and SEC Rule 206(4)-7.
• Supervisory System Enhancement: Our team can evaluate your firm’s existing supervisory systems and recommend improvements to ensure they meet regulatory standards. This includes implementing robust oversight mechanisms and establishing processes for monitoring and addressing compliance issues.
• Regulatory Examination Preparation: We’ll prepare you for regulatory examinations by conducting mock audits and reviews to identify areas of non-compliance. We provide guidance on remediation efforts and help firms develop strategies for addressing findings identified during examinations.

Oyster Solutions GRC Software

Experience peace of mind with Oyster Solutions, our proprietary governance, risk, and compliance (GRC) software. We designed our software with your business in mind. Oyster Solutions offers consolidated dashboards, customizable workflows, and user profiles tailored to your firm’s requirements. Gain a comprehensive view of your compliance program and stay ahead of regulatory requirements with ease.

Streamline compliance processes, track regulatory changes, and generate reports to demonstrate adherence to regulations. Ready to elevate your broker-dealer or registered investment advisor compliance strategy? Our risk management software can help you get there. Watch a demo and get a glance at what our software can do for your firm.

The Oyster Difference

Our RIA and broker dealer compliance consultants understand the complexity of running a firm. We are former regulators and industry leaders who know the issues you face. We listen to your needs and design solutions to help you through all phases of your business.

Navigating compliance can be daunting, but with Oyster Consulting, you have a trusted partner by your side. Our team comprises experienced consultants with backgrounds in regulation. We ensure that your firm receives top-notch support at every stage of its operations.