Broker-Dealer Compliance Program Review

At Oyster Consulting, we understand the complexity of running a broker-dealer

Our consultants are former regulators and industry leaders who know the issues you face and have the real-world experience to ensure your program is practical and compliant.

The Oyster Difference

Oyster knows that each compliance review is different. We will collaborate with your leadership to understand your firm’s compliance goals as well as the policies and procedures that support them. Our experts in process management and compliance provide a road map prioritizing areas of your program that could benefit from reframing. By changing ineffective policies, updating procedures and simplifying processes, we help your team create long-term value through thoughtful redesign.

Oyster Solutions

Our proprietary governance, risk and compliance software, Oyster Solutions, takes the worry out of managing your compliance requirements. With consolidated dashboards, customizable workflows and user profiles designed for your business model, you have a bird’s eye view of your firm’s compliance program.

Oyster Solutions

Regulatory Background

Ensuring that your compliance program is robust and current with evolving regulatory requirements is an important factor when it comes to protecting your business. If you are a dual-registered firm, we can also perform your Investment Advisor Annual Review, required under SEC Rule 206(4)-7. Our experts will ensure your investment advisor program is compliant, reflects your firm’s capabilities, leverages technology and has effective, streamlined processes.

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.

Broker-Dealer Compliance Program Review Services

Review prior regulatory examinations, findings and firm responses

Review Written Supervisory Procedures

Interview key personnel to assess written policies against actual procedures

Draft a report and discuss the findings with your firm

Provide guidance on best practices and industry standards