Welcome to CAFA Compliance & FINOP Advisory!
ComplianceAFAComplianceAFAComplianceAFA
+1(516) 286-5064
charles@complianceafa.com
New York, United States
ComplianceAFAComplianceAFAComplianceAFA

Outsourced CCO

We give the best Services

A strong compliance program requires experienced leadership — but hiring a full-time Chief Compliance Officer can be costly and difficult to staff. Our Outsourced CCO service gives your firm access to senior-level compliance expertise without the overhead of an in-house executive.

We act as your firm’s designated compliance leader, ensuring all regulatory obligations are met while helping you build and maintain a culture of compliance.

Our Outsourced CCO Support Includes:

Compliance Program Design & Oversight – Developing, implementing, and maintaining policies and procedures tailored to your firm’s business.
Regulatory Filings & Reporting – Managing Form ADV, Form U4/U5, and other required submissions.
Risk Assessments & Testing – Conducting independent compliance reviews, testing, and audits to identify and mitigate risks.
Regulatory Exam Support – Preparing your firm for SEC, FINRA, or state regulatory examinations and representing you throughout the process.
Training & Awareness – Providing compliance training for staff and management to strengthen internal accountability.
Ongoing Advisory – Offering proactive guidance on new regulatory developments and industry best practices.
Why Choose Our Outsourced CCO Service?
  • Access to seasoned compliance professionals with deep industry knowledge
  • Cost-effective alternative to hiring a full-time CCO
  • Scalable support that grows with your business
  • Peace of mind knowing your compliance program is continuously monitored and improved

With our Outsourced CCO service, your firm benefits from expert compliance leadership, enhanced credibility, and reduced regulatory risk — all without the cost of an in-house executive.

Contact

  • 3111 West Allegheny Avenue Pennsylvania 19132
  • 1-982-782-5297
    1-982-125-6378
  • support@consultio.com

Brochures

View our 2020 Medical prospectus of brochure for an easy to read guide on all of the services offer.

Archives

We understand the importance of approaching each work integrally and believe in the power of simple.

Melbourne, Australia
(Sat - Thursday)
(10am - 05 pm)