Outsourced Chief Compliance Officer (CCO)

Outsourced Chief Compliance Officer

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. At Oyster, our outsourced CCOs provide superior capabilities for RIA and Broker-Dealer compliance backed by an entire company of industry professionals.

The Oyster Difference

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.

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. At Oyster, our outsourced CCOs provide superior capabilities for RIA and Broker-Dealer compliance backed by an entire company of industry professionals.

Why Hire An Outsourced Chief Compliance Officer?

The decision to outsource your Chief Compliance Officer role is an important decision and things you should consider when making this decision, 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.

Learn more:

When Does Outsourcing Your CCO Role Make Sense? 

Your CCO Must Be A Strong Leader

 

 

 

 

Our Process

Step 01

Discover

We listen to your goals and priorities. We create transformative change by inviting a two-way discussion.

Step 02

Plan

We customize your project by creating a scope and timeline to deliver the best experience for your team.

Step 03

Implement

Oyster maintains consistent communication to monitor and reinforce project goals while completing project deliverables.

Step 04

Deliver

Whether your need is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations.

Outsourced CCO Services

Conduct reviews, both onsite and remotely

Provide all CCO compliance services consistent with the requirements of the SEC and/or state regulators

Conduct Marketing Reviews

Develop and maintain a detailed Compliance Program

Perform testing of compliance Policies and Procedures

Complete regulatory filings

Provide compliance support with respect to SEC and/or state examinations and regulatory matters