By outsourcing your chief compliance officer (CCO) role to us, you gain access to a team of highly skilled and experienced compliance professionals that will oversee your firm’s compliance program.
An ACC compliance professional will serve as the named CCO on your firm’s Form ADV. Since the CCO is personally identified on the Form ADV, they will take on much of the risk associated with the CCO position.
The CCO will oversee the monitoring and review of your firm’s compliance program, which will include periodic audits, compliance education and training, and regulatory filings.
Built into this service is the ability of any member of the firm to communicate with the CCO regarding all compliance related questions or concerns.
Our outsourced CCO offering includes:
- Regulatory filings and updates
- ADV/CRS
- Form 13F/H/G
- Form PF
- Annual risk assessment
- Updating and customizing policies and procedures manual
- Rule 206(4)-7 annual compliance program review and report
- Compliance program calendar
- Cybersecurity compliance analysis
- Advertising reviews
- Quarterly personal trading, email and social media review
- Compliance technology solution for conflicts management
- Regulatory exam oversight and support
- Weekly or monthly onsite visits or calls
- Compliance training and mentoring
- Compliance with all requirements of Rules 206(4)-7 or 38a-1
- CCO designation
Note: This service requires CCO liability insurance.
