OUTSOURCED CCO
Compliance leadership that works alongside your team.
A Chief Compliance Officer needs a clear understanding of how the Firm operates. Our outsourced CCO services provide hands-on compliance leadership, working closely with management and supervisory personnel to help administer and maintain the Firm’s compliance program.
HOW WE CAN HELP
Oversight, procedures, and ongoing guidance.
01
Compliance program oversight
Provide ongoing oversight and administration of your Firm’s compliance program, with attention to regulatory responsibilities, policies, and supervisory processes.
02
Policies & procedures
Develop and update Written Supervisory Procedures, AML programs, and other compliance policies to reflect your Firm’s activities and responsibilities.
03
Reviews & remediation
Coordinate compliance reviews, support regulatory examinations and inquiries, and help management address findings and corrective actions.
04
Ongoing compliance guidance
Work with management and supervisory personnel on regulatory developments, business changes, and day-to-day compliance questions.
IS THIS THE RIGHT FIT?
Add hands-on compliance leadership.
For Firms considering outsourced compliance leadership or additional support for an existing compliance function, we tailor the relationship to your Firm’s business and needs.
We stay engaged throughout the year, helping management address compliance responsibilities, respond to issues, and keep the program moving forward.
LET’S TALK
What’s next for your Firm?
COMPLIANCE & FINOP ADVISORY
Experience behind every next step.
Practical compliance and financial operations support for broker-dealers.
SERVICES
GET IN TOUCH
Charles@complianceafa.com
(516) 286-5064
Long Beach, New York