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.

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 one, and there are things you should consider, 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:

Are You Ready to Outsource Your CCO?

Your CCO Must Be A Strong Leader

 

 

 

 

eBook

Download the Services eBook to learn about your outsourcing opportunities.

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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

Our Process

Step 01

Discover

We listen to your goals and priorities. We foster significant transformation by encouraging a dialogue that goes both ways.

Step 02

Plan

We make a plan and schedule to give your team the best financial service industry experience for your project.

Step 03

Implement

Oyster ensures regular communication to oversee and strengthen the financial compliance management project objectives while accomplishing project tasks.

Step 04

Deliver

Oyster offers financial services regulatory compliance support to meet your goals and expectations.