RIA Annual Compliance

Your compliance program is designed to ensure that you operate within the rules, risks, and parameters set for your firm.

Oyster Consulting’s experts have the knowledge and resources to objectively review your compliance program, conducting a gap analysis of your policies, procedures, business lines and risks so that you know where to refine your program and prioritize your tasks.

Our operations and compliance experts will collaborate with the leaders in your organization who run portfolios, manage trades or work in operations or marketing to make sure your program is compliant with SEC Rule 206(4)-7,  reflects your firm’s capabilities, leverages technology and has effective, streamlined processes.

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