Risk Management and Compliance Consulting

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Focus on innovation, not disruption. Prepare for the next industry evolution for financial institutions.

We offer a suite of compliance, strategy, and risk management consulting services to address the unique needs and challenges of your firm. Our experienced industry practitioners specialize in providing expert guidance and actionable advice in various key areas, including compliance, strategy, finance, operations, and registration. You can focus on innovation and growth while we prevent disruption by avoiding potential risks.

Compliance Consulting Services

We provide risk and compliance consulting services that help your firm navigate the complex regulatory landscape. With deep expertise in regulatory compliance and risk management, our consultants provide comprehensive solutions to ensure compliance with regulatory requirements.

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Expert Guidance To Help You Grow

From strategies to grow your business to optimizing operational processes, we are here to support your firm.

Strategy Consulting: Our advisors work closely with you to develop and implement strategies that drive growth and achieve business goals. We provide business planning, market analysis, and strategic decision-making support.
Finance Consulting: We offer comprehensive services from Net Capital calculations and
Revenue Share agreements to Outsourced FINOP and required financial reporting. Our finance experts provide strategic financial guidance to help your firm thrive in today’s competitive landscape.
Operations Consulting: Our consultants specialize in optimizing processes, identifying operational risks, and implementing solutions to enhance productivity and reduce costs. Whether you need assistance with workflow optimization, technology implementation, or organizational restructuring, we’re here to help.
Registration Consulting: Navigate the registration process efficiently and with ease. From initial registration to ongoing compliance requirements, our registration consulting services ensure a smooth and efficient registration process for your firm.

The Oyster Difference

At Oyster Consulting, we are committed to helping your firm achieve measurable results. We manage risks while driving innovation. If you need assistance with compliance, strategy, finance, operations, or registration, get in touch. Our team of industry professionals is ready to offer actionable advice to address your firm’s challenges and drive success.

Meet Our Consultants

eBook

Download your Digital Assets in the Securities Industry eBook to learn the basics of blockchain and cryptocurrencies, and what that means when it comes to the securities industry.

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Case Study

Challenge

Finding The Right Vendor

Firms often find that vendors fail to add value and become a source of frustration rather than support.

Solution

Industry Experts

Utilizing Oyster Consulting’s experienced and knowledgeable consultants transforms your vendors into valuable resources.

Outcome

Overall Growth

Our consultants have specialized skills to help your firm achieve its business goals, growth objectives and maintain a system of reasonable compliance.

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Read The Full Case Study

Discover how our expert consultants can drive your success—get the full case study and learn more about how to partner with the right vendor for your firm’s success.

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Oyster took away the guess work, providing us with a strategy that led to value.
Full-service Broker Dealer and Registered Investment Advisor Partner with Oyster Consulting