Most organizations do not have the requisite in-house expertise to adequately fill the role of chief compliance officer. Outsourcing this vital position is often the most prudent and economical option. Our experienced professionals can serve in the role of chief compliance officer on a temporary or a permanent basis.

Our chief compliance officers will:

  • Help develop and implement a compliance program based on industry regulations and best practices
  • Establish and chair your compliance committee
  • Conduct periodic reviews of your compliance program to incorporate new regulations and/or best practice recommendations
  • Manage investment adviser or broker-dealer registration requirements and attendant regulatory filings (as applicable)
  • Review the adequacy of your company’s compliance policies, procedures and service providers, and the effectiveness of their implementation
  • Draft annual/interim compliance review reports
  • Design or review risk-based testing methods for your compliance program’s policies and procedures
  • Perform and document testing of key control procedures
  • Help respond to due diligence requests and attend due diligence meetings
  • Manage the regulatory examination/audit process
  • Maintain compliance program records