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Outsourced Chief Compliance Officer

Key elements for an outsourced CCO to be effective.

  • – Compliance culture, provides access and support for compliance efforts.
  • – CCO is versed in regulatory requirements and the firm’s business.
  • – Parties maintain open communication, build strong relationships.
  • – CCO has authority to influence adherence with policies and procedures.
  • – Compliance program reasonably designed to prevent, detect, and address violations.
  • – The compliance program is proactive.

“When you partner with a third party CCO, you need to know they are accountable and informed. We were highly selective through this process, and ultimately chose SEC3 because we felt secure their team would be proactive and ensure that we had a compliance program that would meet investor and regulator expectations. Not only have they done this, but our companies and staff, together, operate as a team.”

— ETF Manager

Client Since 2018