Compliance Program Reviews for Broker-Dealers and RIAs

Assessing Your Compliance Program

Identify and mitigate risk areas within your compliance programs through a comprehensive review of your written policies and procedures. Oyster Consulting facilitates collaborative discussions with your C-Suite peers to ensure alignment with relevant laws, regulations, and regulatory authority standards.

Our approach prioritizes the development of an effective compliance program to address both internal and external requirements. We promote long-term value for your firm without causing disruption.

Oyster Consulting provides the support Registered Investment Advisors need to achieve compliance with FinCEN’s final AML rule, effective January 1, 2026.  Our experts will craft an AML program tailored to your firm’s business model, following the rules and best practices set by the SEC, FinCEN, and the Bank Secrecy Act. If your firm requires an AMLCO, Oyster has the outsourcing resources you need to fill the position. When it comes to required independent testing, our AML program assessment and AML testing is thorough and aligned with industry best practices.  Whether your firm is small or large, our consultants can help you create and maintain a compliant AML program.

Program Auditing and Monitoring

Even the strongest compliance programs can encounter challenges, necessitating ongoing auditing and monitoring. Oyster’s compliance professionals offer supplementary support to ensure continuous compliance with laws, regulations, and internal controls. Through Email Reviews, Branch Exams, and Advertising Program Reviews, we help mitigate compliance risks and maintain standards of conduct.

Annual Compliance Reviews

Broker-dealers, registered investment advisors, and alternative trading systems must conduct annual compliance reviews to address deficiencies and enhance effectiveness. Oyster’s team of experienced compliance officers and professionals conduct comprehensive assessments, including Best Execution, Employee Trade Monitoring Program, and Information Security reviews. We also offer ATS Annual Audits and internal audits to ensure compliance with state law and regulatory requirements.