Solve Your Compliance Concerns with Outsourced CCO Assistance and Oversight
NCS Regulatory Compliance provides advanced services including outsourced CCO (Chief Compliance Officer) relationships to clients that are good candidates for the program. Through careful analysis and assessment, discussions and review of goals, NCS Regulatory Compliance works closely and diligently to determine if an outsourced CCO is the right fit for you. The intrinsic benefits of an outsourced CCO – including extensive experience, a culture of compliance, a full bench of support, and robust procedures and controls all supported by best-in-class technology – can all be realized if the right CCO relationship is established.
Is an Outsourced CCO Right for You?
Firms using a part-time compliance professional with multiple firm experiences gain deep expertise and regulatory knowledge in their business. The firm adds a seasoned professional to its senior management team. And yes, the investment adviser or broker-dealer can enjoy a substantial cost benefit in comparison to a dedicated, full-time CCO without compromising experience or accessibility.
NCS Regulatory Compliance Can Help
When you partner with NCS Regulatory Compliance, your outsourced CCO, with the support of our entire team, will provide the guidance necessary to maintain your regulatory program, typically at a fraction of the cost of bringing on an internal resource. To learn more, contact us below.