Broker-Dealer and RIA Compliance Support

Oyster Consulting has the expertise, experience and licensed consultants you need, all under one roof.

Our consultants understand the complexity of running a Broker-Dealer or RIA. 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.

The Oyster Difference

Our broker-dealer and registered investment advisor clients take advantage of our real-world experience, from managing the registration process to developing, implementing and running an efficient compliance program. Whether you need to outsource your compliance roles or receive consulting services on an as-needed basis, Oyster can help. We can create and implement practical solutions so your compliance team achieves efficiency while being effective.

Oyster Solutions GRC Software

Our proprietary GRC software, Oyster Solutions, can take the worry out of managing your compliance requirements.  With consolidated dashboards, customizable workflows and user profiles designed for your business model, you have a bird’s eye view of your firm’s compliance program.

Request a Demo

Interested in getting started with Broker-Dealer and
Registered Investment Advisor compliance solutions?
Contact us today.

Our Process

Step 01

Discover

We listen to your goals and priorities. We foster significant transformation by encouraging a dialogue that goes both ways.

Step 02

Plan

We make a plan and schedule to give your team the best financial service industry experience for your project.

Step 03

Implement

Oyster ensures regular communication to oversee and strengthen the financial compliance management project objectives while accomplishing project tasks.

Step 04

Deliver

Oyster offers financial services regulatory compliance support to meet your goals and expectations.