Outsourced CCO Services
Senior compliance officer support for registered investment advisers.
Many registered investment advisers require institutional compliance infrastructure without the cost of a full-time Chief Compliance Officer at the senior level. Our outsourced CCO practice provides continuous, assigned compliance officer services to RIAs that need more than periodic consulting but are not yet at a scale that justifies a dedicated internal CCO. The consultant assigned to each client serves in an ongoing capacity, attending meetings, reviewing practices, signing required certifications, and managing the firm's regulatory relationship.
Ongoing outsourced CCO services for registered investment advisers
Annual Form ADV review, amendment, and filing support
Annual compliance program review under Rule 206(4)-7
Regulatory filing support (13F, 13G, 13D, Form PF)
Regulatory change monitoring and regulatory updates
Staff compliance training and certification programs
Regulatory correspondence and examiner communication management
How do you get started? A conversation is sufficient — no defined scope or formal brief required to make initial contact.
Speak with a consultant
We work with a select number
of institutions.
Our consulting model requires proximity to each client. We keep our client base selective; it is the condition of the service we provide.