Outsourced Chief Compliance Officer
We take ownership of your compliance program.
We serve as your firm’s designated CCO, from program design through daily administration, testing, filings, and regulatory examinations.
Suited to: emerging and growing RIAs, established advisory firms, and investment managers that need an experienced CCO without building a full internal department.
Areas of practice
The full compliance program, end to end.
Compliance program & policies
A program designed around your business, structure, and risks, with policies and procedures that reflect how the firm operates and stay current as it changes.
Annual review, risk assessment & testing
Annual reviews, risk assessments, and risk-based testing and surveillance that give leadership a clear, honest view of the program.
Code of Ethics & employee compliance
Personal trading, holdings, gifts and entertainment, onboarding, training, attestations, and related certifications.
Regulatory filings
Preparation and coordination of required filings and amendments.
Marketing & advertising review
Practical review of materials, performance presentations, and communications.
Books & records
Recordkeeping practices that are organized, complete, and examination-ready.
Vendor, cybersecurity & continuity oversight
Due diligence on critical service providers, and coordination with operations and technology partners on cybersecurity and business continuity.
Regulatory examinations
Preparation, document production, examiner interactions, and response to findings.
Ongoing regulatory guidance
Practical guidance as regulatory requirements and your business evolve, from day-to-day questions to new rules and changes in strategy.
Considering an outsourced CCO? We would be glad to talk.
Get in touch →