Better Decisions Through GRC

In today’s financial services environment, firms face complex regulatory obligations and heightened expectations from clients and regulators alike. Making better decisions isn’t just about having the right people—it’s about giving those people the right tools. Governance, Risk, and Compliance (GRC) software has become essential for firms seeking to transform compliance from a reactive function into a proactive driver of strategy. 

Oyster Solutions offers firms a centralized platform to connect compliance, operations, and risk management in one system. By leveraging data, workflows, and reporting across key areas—trade review, risk assessments, compliance, Reg BI, AML, and CAT/CAIS—firms can make informed decisions that protect their business and position them for growth. 

Trade Review: From Manual Checks to Strategic Oversight 

Trade reviews are often repetitive and time-consuming, making it difficult to spot trends or identify anomalies. Oyster Solutions automates the review process, ensuring that exceptions are flagged quickly and consistently. Instead of spending hours digging through individual trades, compliance teams can focus on what matters most—interpreting results, identifying patterns, and advising leadership on potential risks or emerging trends. 

Risk Assessments: Aligning Oversight With Business Strategy 

Risk assessments are more than a regulatory requirement—they are a strategic tool for prioritizing resources. Oyster Solutions provides a structured framework to evaluate risks across business units, products, and functions. Dashboards and automated workflows give leaders real-time visibility into where risks are concentrated, allowing firms to make informed decisions about where to invest, strengthen controls, or adjust strategy. 

Compliance: Centralized Control, Smarter Execution 

Compliance is often managed across disconnected spreadsheets, documents, and emails—leaving firms vulnerable to gaps and errors. Oyster Solutions centralizes compliance obligations into one platform, where policies, procedures, testing, and documentation can be tracked and managed. This holistic view allows decision-makers to quickly understand the state of compliance and make timely adjustments when risks or regulatory expectations change. 

Reg BI: Consistency and Documentation Made Simple 

Firms subject to Regulation Best Interest (Reg BI) face the challenge of ensuring recommendations meet client needs and are fully documented. Oyster Solutions automates workflows for disclosures, recommendations, and reviews, helping advisors demonstrate compliance with Reg BI requirements. Centralized data gives firms confidence that they can defend their decision-making process during exams or audits. 

AML: Strengthening Safeguards Against Financial Crime 

Anti-Money Laundering (AML) obligations demand vigilant monitoring and thorough documentation. Oyster Solutions integrates AML processes into a broader compliance framework, offering tools for risk-based customer reviews, suspicious activity tracking, and escalation workflows. By connecting AML with other compliance functions, firms can make faster, better decisions when red flags arise. 

CAT / CAIS Reporting: Confidence Through Accuracy 

Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS) reporting require precision and consistency. Oyster Solutions provides firms with the controls and monitoring necessary to ensure reporting accuracy. Automated alerts highlight discrepancies, while dashboards give compliance leaders the information they need to quickly identify issues and take corrective action—before they become regulatory findings. 

Turning Compliance Into a Strategic Advantage 

Using Oyster Solutions, firms don’t just check boxes—they gain actionable insights that improve decision-making across the organization. By unifying trade review, risk assessments, compliance, Reg BI, AML, and CAT/CAIS in one system, Oyster Solutions helps firms make informed, timely, and defensible decisions that protect their reputation and drive growth. 

At Oyster, our consultants bring deep industry experience to every engagement. We know what it’s like to sit in your chair, and we’ve built Oyster Solutions to reflect that real-world expertise. Whether you are building a stronger compliance program, preparing for an exam, or integrating technology into your strategy, Oyster can help you transform compliance into a source of confidence and competitive advantage.