CCO Outsourcing

Helping your firm navigate the regulatory environment by designing and implementing a risk-based compliance program.

We have designed an outsourced Chief Compliance Officer solution for firms that are looking to build a robust regulatory compliance framework in a cost-effective way. Whether your firm is a new registrant or a seasoned investment firm, we can provide you with an experienced CCO that will streamline and take operational ownership of your compliance program while staying focused on your business goals. The mitigation of regulatory risk through the implementation and management of an effective and efficient compliance program is our primary goal.

What is an Effective and Efficient compliance program?

Risk-based policies and procedures to directly address regulatory obligations
Analysis of implementation of prevent vs detect controls
Cost/Benefit analysis of operational control environment
Use of technology
Clear and concise documentation (audit trail)
Ongoing monitoring and feedback
Ability to timely change or enhance program

How we can help

The Gameplan

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Gain a thorough understanding of the business operations to adequately assess the impact of applicable laws and regulations. We narrow the playing field to focus on rules and regulations that directly affect the firm’s ability to operate in its industry.

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Analyze and break down the business processes to directly address any potential regulatory impact or concern. Identify potential gaps in current procedures. Create a correlation between applicable rules and regulations to how a firm operates its business.

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Design adequate policies and procedures that allow for efficient business processes while effectively mitigating regulatory risk. Ensure adequate documentation is retained to demonstrate the compliance control environment. Build a strong culture of compliance throughout the organization.

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Ensure compliance program is adequately designed and operating effectively across all business operations through periodic review and testing. Conduct an annual/quarterly review of compliance controls to identify any weaknesses or deficiencies that need to be timely addressed.

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Train employees on the compliance program and adherence to the firm’s Code of Ethics. Ensure updates and enhancements to the compliance program are timely communicated to the affected employees.


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Keep open lines of communication with key personnel to gain understanding of actual or potential changes to the business operations and how they impact the compliance program.


By outsourcing the Chief Compliance Officer function, your internal team is free to focus on core business activities that directly contribute to your company's success. Accessing skilled professionals without the overhead costs associated with hiring and training an internal compliance team provides a cost-effective solution that allows your business to grow.

Why Needed?


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