Outsourced Chief Compliance Officer

Mitigate risks and lower expenses with ACA's Outsourced Chief Compliance Officer (OCCO) Service.

ACA offers an outsourced professional for clients who meet the right profile. We consider each of these opportunities individually to ensure a good fit for both the firm and ACA, considering a firm’s business lines and culture.

Our Outsourced Chief Compliance Officer (OCCO) services will:

• Advise your Senior Management team on important decisions

• Create and test your firm's compliance policies and procedures, incorporating new or amended regulations, best practice recommendations, and other guidelines that may be appropriate to your firm's operations 

• Conduct training for all U.S. personnel on Code of Ethics, conflicts of interest, and compliance policies and procedures

• Review marketing and advertising materials

• Monitor employee activities, including personal trading, outside business activities, and political contribution

• Conduct regular site visits

• Collect, organize, and analyze relevant compliance data and make inquiries of management and service providers as needed

• Coordinate the annual Form ADV amendment and any interim material revisions

• Conduct and document annual reviews of your firm's compliance policies and procedures

• Provide support during regulatory examinations