Outsourced Chief Compliance Officer (CCO)

Navigating Compliance Risks and Challenges

Managing regulatory compliance can be overwhelming. Ensuring compliance, testing internal controls, mitigating risk are all keys to a successful compliance program. How well is your firm handling these compliance efforts?

Our outsourced CCO services alleviate the burden by offering expert support in navigating complex regulatory compliance requirements.

Consulting firms, like Oyster, can provide an outsourced professional who is right-sized for your organization. Oyster’s industry professionals have served as Chief Compliance Officers and are qualified to meet the daily challenges of regulatory compliance for your firm.  At Oyster, our outsourced CCOs provide superior capabilities for RIA and Broker-Dealer compliance backed by an entire company of industry professionals.

Comprehensive Outsourced CCO Solutions

The decision to outsource your Chief Compliance Officer role is an important one. Resource availability and experience are important considerations. 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.  Our Outsourced CCO service includes:

• Conducting reviews, both onsite and remote
• Development of compliance programs that meet applicable laws and regulations
• Testing of policies, procedures and internal controls
• Conduct employee training
• Regulatory filings
• Support during SEC and FINRA regulatory examinations
• Maintain a reasonable system of compliance

The Oyster Difference

Oyster stands out as a trusted partner in the industry due to our extensive experience and commitment to excellence. Our team of industry professionals brings a wealth of knowledge and expertise to every engagement. We’ll ensure that your compliance needs are met with precision and efficiency. With Oyster as your compliance outsourcing partner, you can rest assured that your compliance function is in capable hands.

Our Outsourced CCO consultants provide the unique benefit of getting a multi-disciplined professional without having to interview, negotiate, hire, onboard and maintain another employee.  At Oyster, our outsourced CCOs provide superior capabilities for RIA and Broker-Dealer compliance backed by an entire company of industry professionals.