Risk Management and Compliance Consulting

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Focus on innovation, not disruption. Prepare for the next industry evolution for financial institutions.

We offer a suite of compliance, strategy, and risk management consulting services to address the unique needs and challenges of your firm. Our experienced industry practitioners specialize in providing expert guidance and actionable advice in various key areas, including compliance, strategy, finance, operations, and registration. You can focus on innovation and growth while we prevent disruption by avoiding potential risks.

Compliance Consulting Services

We provide risk and compliance consulting services that help your firm navigate the complex regulatory landscape. With deep expertise in regulatory compliance and risk management, our consultants provide comprehensive solutions to ensure compliance with regulatory requirements.

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Expert Guidance To Help You Grow

From strategies to grow your business to optimizing operational processes, we are here to support your firm.

  • Strategy Consulting: Our advisors work closely with you to develop and implement strategies that drive growth and achieve business goals. We provide business planning, market analysis, and strategic decision-making support.
  • Finance Consulting: We offer comprehensive services from Net Capital calculations and
    Revenue Share agreements to Outsourced FINOP and required financial reporting. Our finance experts provide strategic financial guidance to help your firm thrive in today’s competitive landscape.
  • Operations Consulting: Our consultants specialize in optimizing processes, identifying operational risks, and implementing solutions to enhance productivity and reduce costs. Whether you need assistance with workflow optimization, technology implementation, or organizational restructuring, we’re here to help.
  • Registration Consulting: Navigate the registration process efficiently and with ease. From initial registration to ongoing compliance requirements, our registration consulting services ensure a smooth and efficient registration process for your firm.
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The Oyster Difference

At Oyster Consulting, we are committed to helping your firm achieve measurable results. We manage risks while driving innovation. If you need assistance with compliance, strategy, finance, operations, or registration, get in touch. Our team of industry professionals is ready to offer actionable advice to address your firm’s challenges and drive success.

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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.

Oyster took away the guess work, providing us with a strategy that led to value.

Full-service Broker Dealer and Registered Investment Advisor