Leading outsourcing for broker-dealers
Outsourced Chief Compliance Officers
Outsourced CCO solutions for Broker-Dealers and RIAs, deep expertise for compliance.
Full-service compliance programs
Tailored to your specific needs.
Backed by an entire company of industry professionals.
Our team consists of Former Regulators, industry Compliance Experts, Lawyers, and FINRA Series 24 Registered
Principals.
Why Hire An Outsourced Chief Compliance Officer?
The decision to outsource your Chief Compliance Officer role is an important one, and there are things you should consider, including resource availability, experience, and interaction with regulators. Outsourced CCOs can fill the role for your firm until you have found a suitable candidate, support a CCO already in place by providing extra knowledge and experience, or fill the position indefinitely.
Competence and Dedication You Can Rely On
We provide an outsourced professional who is right-sized for your organization. No more having to wonder if your candidates are qualified to meet the daily challenges of regulatory compliance for your firm. Our outsourced Our Outsourced CCO professionals provide the unique benefit of getting a multi-disciplined professional without having to interview, negotiate, hire, onboard and maintain another employee.
Our outsourced CCOs provide superior capabilities Broker-Dealer compliance backed by an entire company of industry professionals.
Looking for more details?
We'll reach back to schedule a consultation to see how we can help you.
Testimonials