Mobilize

Better than a bird’s eye view – see the forest AND the trees

Oyster Solutions allows you to effectively monitor your client and employee trade activity. The Monitor module allows you to see activity at household, account, rep and firm levels. By ingesting data from one or more clearing firms and custodians, Monitor allows aggregation of information across back-office systems, in one view.

One powerful platform that’s easy to use. Incorporate alerts, trade blotter and profiles with the Oyster Solutions platform.

“Having a centralized location for reporting and record keeping will increase accountability for all users. This is an exciting time for our firm and having Oyster Solutions will enhance our readiness for both internal and external examinations/inspections.”

-Current Client

Trade Blotter

A filterable, sortable, exportable trade blotter can be a valuable resource for supervision, surveillance and testing. Evidence your reviews with notes and electronic sign-off to prove your supervision.

Alert Engine

Configuring the Oyster Solutions alert engine to your specifications allows you to monitor for potential exceptions. Comparing transactions, positions and fees to your client profile keeps your team ahead of potential issues. Determine the frequency, severity and parameters of all of your alerts in one system while using our online tool to keep your compliance program ready for today’s markets.

Profile

House information about your associated persons using our Profile tool. Profile allows you transparency into your employee or 1099 population by keeping information in one place where you can view employee type, supervisory hierarchy and business continuity plan information. You can even track licensing and appointments, outside business activities, assigned equipment and complaints for needed individuals.

eBook

Learn how Oyster Solutions creates a modern, effective compliance program that protects your firm and provides value.

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Our Process

Step 01

Discover

We listen to your goals and priorities. We create transformative change by inviting a two-way discussion.

Step 02

Plan

We customize your project by creating a scope and timeline to deliver the best experience for your team.

Step 03

Implement

Oyster maintains consistent communication to monitor and reinforce project goals while completing project deliverables.

Step 04

Deliver

Whether your need is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations.