Outsourced CCO

See What We Can Do

Why Outsource Your CCO?

To mitigate risk and lower compliance allocations.

What We Do

At SEC³, we understand the financial pressures of running a small business while meeting the regulatory obligations of the SEC. As such, we offer the Outsourced CCO Partnership to those in need of an alternative solution to hiring a full-time, in-house CCO. When you outsource the CCO with SEC³, we will be responsible for managing the entirety of your firm’s compliance program and assuming the role of CCO.

“When you partner with a third party CCO, you need to know they are accountable and informed. We were highly selective through this process, and ultimately chose SEC³ because we felt secure their team would be proactive and ensure that we had a compliance program that would meet investor and regulator expectations. Not only have they done this, but our companies and staff, together, operate as a team.”

ETF Manager

Client Since 2018

Key Elements for an Outsourced CCO to be Effective:

  • Compliance culture should provides access and support for compliance efforts.
  • CCO should be versed in regulatory requirements and the firm’s business.
  • Parties should maintain open communication and build a strong relationship.
  • CCO should have authority to influence adherence with policies and procedures.
  • Compliance program should be reasonably designed to prevent, detect, and address violations.
  • The compliance program should be proactive.