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.
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.
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.
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Are You Ready to Outsource Your CCO?
Your CCO Must Be A Strong Leader
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
Step 01
We listen to your goals and priorities. We create transformative change by inviting a two-way discussion.
Step 02
We customize your project by creating a scope and timeline to deliver the best experience for your team.
Step 03
Oyster maintains consistent communication to monitor and reinforce project goals while completing project deliverables.
Step 04
Whether your need is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations.
