We create simplicity

Growth in today’s industry comes from strategy, transformation, and risk mitigation

We know what it takes to be successful.

At Oyster Consulting, we understand the challenges businesses face today. We know what it takes for your firm to be efficient, agile, compliant and, most importantly, successful. That’s why Oyster assembled a team of industry experts with decades of experience working with broker-dealers and registered investment advisors. Our employees help our clients thrive, even when faced with operational or compliance challenges. Our consultants worked at the largest and most complex firms in the industry and have seen it all. From operations, compliance and outsourcing to strategy, vendor management, and even contract negotiations – our team’s knowledge spans all areas of the industry. So, why not benefit from our experts’ extensive on-the-ground experience and knowledge of current industry trends? Let Oyster Consulting help take your business to the next level.

Consulting and Outsourcing Services

We provide consulting and outsourcing services to ensure our clients have the knowledge and tools they need to thrive today, and in the future. Oyster Consulting has the Compliance, Operations and Strategic professionals under one roof to meet your consulting needs. Through our services, we establish strong relationships – we want to be your first call for objective advice, industry expertise and sensible solutions.  Many of our compliance experts were former regulators, including at the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Other employees held C-suite positions including, CCO, COO, CEO, CIO and CTO, at some of the largest firms in our industry. Our experts share their industry experience and provide technical know-how, putting guidance into action.

Comprehensive Testing

Our industry is more complex and moving faster than ever. Regulators require comprehensive testing while other priorities demand attention. We provide accurate, quick and comprehensive testing for all types of broker-dealers and RIAs.  We test dozens of firms of all sizes and complexities, giving us a unique perspective, increased industry awareness and efficiencies. Our consultants stay on top of regulations to know what your firm must do to be compliant. We have the experience to perform Best Ex reviews, AML testing, Rule 3110 compliance, branch exams, and RIA annual reviews. At Oyster, we simplify testing by taking on the time consuming task of testing, sampling, analysis and report writing. With our expertise, we ensure you have the knowledge and tools needed to remain compliant in today’s ever-changing industry.

Strategy and Operations Specialists

Our Strategy specialists provide operational efficiency, compliance and digital transformation strategies. Our team will help you with trade reporting, trade desk compliance, gap analysis, business model optimization, succession planning, clearing firm contract review, and more. Oyster’s professionals work with you to identify areas of opportunity and develop strategies to maximize efficiency and profitability. Our experts have extensive experience in the industry and understand the complexities of financial services businesses. Take advantage of our industry experience with platform conversions, system alignment, legacy system migration and process optimization. We are here to help you succeed.

Oyster Solutions – One platform for Governance, Risk and Compliance

As a compliance professional, you know the challenge of keeping track of policies, procedures, regulations, a compliance calendar, and which employee is responsible for what work. The endless schedule of tasks, overlapping workflows, spreadsheets and reporting can overwhelm even the most organized among us. This is where Oyster Solutions comes in – a compliance platform built for the industry by compliance professionals.

Oyster Solutions is a powerful and streamlined compliance program that eliminates the hassle of using different platforms by integrating workflows, mutual fund analyzer, trade reporting, CAT reporting, employee trade review, risk management, attestations, compliance calendar scheduling, and more. Our proprietary GRC Software puts everything you need in one central location for easy access and tracking.  The unique Oyster Solutions platform automates and integrates regulations and risk with your policies, procedures and reporting, supervision, oversight and testing that proves the results, all in one place.

We ensure our clients have the knowledge and tools they need to thrive today, and in the future. Through our services, we establish strong relationships—we want to be your first call for objective advice, industry expertise and sensible solutions.

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.

The Oyster team has always shown they have in-depth industry knowledge that has proven to be invaluable to us as a firm, from looking at issues strategically to helping implement efficiencies. We have never been disappointed with their engagements.

Chief Risk Officer National Broker-Dealer