Why Hire an Outsourced Chief Compliance Officer?

Mitigate risks, lower expenses, and streamline operations.

Grow your business and build meaningful relationships with your clients while your dedicated Outsourced Chief Compliance Officer (OCCO), supported by ACA’s team of experts, takes care of the critical compliance functions necessary for running your firm.

Drive your business while knowing that your firm’s compliance program is in the hands of experienced professionals who know how to tackle regulatory challenges head on. ACA’s OCCO Solution provides peace of mind in an ever-changing regulatory landscape.

Complete the form to learn why firms choose to outsource compliance services to ACA.

Why ACA?

When you hire ACA for Chief Compliance Officer (CCO) services, you get more than just a named CCO. You are getting a team of compliance experts with years of experience executing on the entirety a firm’s compliance program. ACA’s OCCOs are supported by ACA’s managed services team, who specialize in marketing review, email review, code of ethics reviews, and more.

Unparalleled Expertise

With our team's deep experience and financial compliance expertise, we navigate regulatory changes with precision. You can trust in our unmatched knowledge to stay ahead of the curve and address evolving compliance requirements effectively.

Reputation and Trust

We are highly committed to our client's success. As your partner, we will gain intimate knowledge of your firm's operations and provide proactive support tailored to your firm's evolving needs. Our trusted reputation is built on delivering excellence and ensuring your compliance program is in expert hands.

Regulatory Confidence

Our team includes former SEC, FINRA, FCA, NFA, CFTC, and state regulators, along with former Chief Compliance Officers and senior compliance managers from prominent financial institutions in the industry. We stay up to date on regulatory rules and updates, so you can be confident that your program is fully compliant.

Help Mitigate Risk

Our CCOs have intimate knowledge and experience in the financial services industry. They will employ the most up-to-date best practices to mitigate risk and implement a compliance program designed to meet the regulatory requirements that affect your firm.

Reduced Personnel Expenses

Our multi-disciplined professionals allow you to bypass the process of interviewing, hiring, onboarding, and maintaining staff. We are also equipped to train new members of your team, helping you maintain top talent and reduce costs.

Total Transparency

Our commitment to transparency ensures that you have a comprehensive view of the compliance outsourcing services we are providing to your firm. All documentation and compliance records developed by ACA are easily accessible and maintained for your review and are readily available in the event of a regulatory examination or inquiry.

How can ACA help?

When you hire ACA to provide an outsourced CCO solution, ACA and the appointed outsourced CCO will:

Determine if your firm’s compliance program is reasonably designed to prevent, detect, and address violations of applicable law and amend the program as necessary
Administer Rule 206(4)-7 policies and procedures, or similar state regulation
Perform the administration, oversight and monitoring of your firm’s compliance program
Advise your Senior Management team on important decisions
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 contributions
Conduct regular site visits
Coordinate required regulatory filings, including Form ADV
Conduct and document annual reviews of your firm's compliance policies and procedures
Represent your firm during regulatory examinations

Outsource your CCO role with ACA

With over 20 years’ experience providing regulatory compliance consulting, ACA is synonymous with quality compliance support. Our CCOs are backed by teams of regulatory compliance, cyber, ESG, and performance professionals who can assist in supporting your firm’s compliance program. We develop strong workflows and processes creating synergy for your firm, leading to time savings, reduced redundancies, and increased productivity.

Who We Serve:

Investment Advisers
Private Equity
Hedge Funds
Wealth Managers
Broker Dealers
Fund Companies
Business Development Companies

ACA’s continued accountability for excellence provides our clients with world-class service, outstanding professionals, award-winning technology, and powerful industry insights. Our global professionals provide outsourced compliance officer services with comprehensive solutions that address your compliance needs effectively and efficiently.

Complete the form to learn why top firms choose ACA for their Outsourced CCO needs.