Outsourced FINOP Services

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Get the most out of a required function

Sometimes you just don’t need another full-time employee. Oyster’s experienced, licensed FINOP consultants will prioritize your FOCUS and Net Capital requirement calculations when you need us. When you outsource your FINOP role, you get a team of experienced and Series 27 licensed industry practitioners.

Invested professionals for the long-term

Oyster Consulting will provide broker-dealers with an outsourced FINOP who understands the industry and your firm, but who also has the experience and resources to navigate regulatory nuances and interpretations. Our FINOPs stay current with industry and regulatory changes and have the expertise to ensure compliance with net capital reporting, FOCUS filings, documentation and to provide financial audit support.

Transition support for the short-term

Outsourcing your FINOP role also provides transition support on an interim basis, allowing you time to find the best full-time candidate to replace departing employees.

We assist our clients with long-term solutions and short-term needs so you can spend your valuable time on investments and building client relationships.

The Oyster Difference

Oyster has retained some of the best talent in the industry. Our consultants have experience assisting our clients with a long-term solution, filling a short-term need, or training a newly-registered PFO or POO. We can support the day-to-day operations across your firm, allowing you to spend valuable time investing and communicating with clients. When working with Oyster, you aren’t just working with one consultant, you are working with the entire team, with access to the combined knowledge and skills of our associates.


Download the Services eBook to learn about your outsourcing opportunities.


Outsourced FINOP Services

Reviewing current accounting practices

Reviewing accuracy and final approval of all financial reports before being submitted to the pertinent regulatory authority

Net capital compliance and monthly and/or quarterly FOCUS Reports

Filing Focus Part IIA monthly or quarterly, as required

Creating, drafting and filing SSOI with FINRA quarterly

Creating, drafting and filing Focus Schedule I annually

Quarterly Form Custody filing

Filing SIPC 6 and 7

Acting as primary contact for regulators concerning financial reporting

Our Process

Step 01


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

Step 02


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

Step 03


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

Step 04


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