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Outsourced Chief Compliance Officer (COO) Services

Expert CCO support tailored to fintech and financial services, enhancing your compliance strategy and operations.

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Having a Chief Compliance Officer is a requirement by the SEC for all registered investment advisors. SEC’s Rule 206(4)-7 requires each advisor to designate a CCO to administer its compliance policies and procedures.

In parallel, FINRA mandates that broker-dealers must have a CCO as well. Regulatory Notice 22-10 focuses on the scope of liability for CCOs under its Supervision Rule 3110, noting the role is vital in preventing, detecting, and remediating potential violations of internal policies and procedures.

Many fintech companies are almost always required to appoint a CCO when entering into partnerships with regulated financial institutions, such as banks.

Fulfilling the role of a Chief Compliance Officer is not just a regulatory requirement; it's a strategic advantage for firms navigating the complex compliance landscape. InnReg offers outsourced CCO services designed to integrate with your team, taking responsibility for compliance oversight through a flexible and customizable arrangement.

How It Works

Our Outsourced CCO Services

Registration and Licensing Support

We offer guidance through the intricacies of regulatory registration and licensing, whether you're a broker-dealer, investment advisor, money services business or any other financial services business in need of compliance oversight.

Registration and Licensing Support

Compliance Program Setup and Launch

Your outsourced CCO will help you establish and implement a robust compliance program to support your operations from the outset.

Compliance Program Setup and Launch

Your outsourced CCO will help you establish and implement a robust compliance program to support your operations from the outset.

Compliance Program Setup and Launch

Your outsourced CCO will help you establish and implement a robust compliance program to support your operations from the outset.

Day-to-Day Compliance Management

The outsourced CCO will provide ongoing management of compliance tasks, aiming to maintain operational activities aligned with regulatory expectations.

Day-to-Day Compliance Management

The outsourced CCO will provide ongoing management of compliance tasks, aiming to maintain operational activities aligned with regulatory expectations.

Day-to-Day Compliance Management

The outsourced CCO will provide ongoing management of compliance tasks, aiming to maintain operational activities aligned with regulatory expectations.

Product and Operations Compliance Advisory

We provide oversight of critical operations, aligning them with compliance standards.

Product and Operations Compliance Advisory

We provide oversight of critical operations, aligning them with compliance standards.

Product and Operations Compliance Advisory

We provide oversight of critical operations, aligning them with compliance standards.

Marketing and Advertising Compliance

By outsourcing your Chief Compliance Officer, you'll receive review and guidance on marketing materials to align with regulatory standards.

Marketing and Advertising Compliance

By outsourcing your Chief Compliance Officer, you'll receive review and guidance on marketing materials to align with regulatory standards.

Marketing and Advertising Compliance

By outsourcing your Chief Compliance Officer, you'll receive review and guidance on marketing materials to align with regulatory standards.

Regulatory Inquiry and Exams Support

Your outsourced CCO will assist with responses to regulatory inquiries and support during investigations.

Regulatory Inquiry and Exams Support

Your outsourced CCO will assist with responses to regulatory inquiries and support during investigations.

Regulatory Inquiry and Exams Support

Your outsourced CCO will assist with responses to regulatory inquiries and support during investigations.

Benefits

Why Use Outsourced CCO Services

A Chief Compliance Officer is positioned to deliver efficiencies and strategic value while being part of the company’s management team. Choosing InnReg for outsourced CCO services offers your firm a multifaceted approach to compliance, characterized by depth of expertise and operational integration.

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Get Strategic Compliance Insights

Our CCOs bring decades of experience across fintech and financial services, offering strategic insights that can shape your business's compliance framework.

Get Strategic Compliance Insights

Our CCOs bring decades of experience across fintech and financial services, offering strategic insights that can shape your business's compliance framework.

Leverage Comprehensive Support

Unlike traditional single-point CCO services, InnReg provides a complete suite of compliance and operational solutions, including a project team to support the CCO, alleviating the need for additional compliance hires.

Leverage Comprehensive Support

Achieve Efficiency and Cost-Effectiveness

Outsourcing your CCO role can significantly reduce overhead expenses associated with full-time executive positions, offering savings of 30% to 50%.

Achieve Efficiency and Cost-Effectiveness

Outsourcing your CCO role can significantly reduce overhead expenses associated with full-time executive positions, offering savings of 30% to 50%.

Implement Quickly

With a focus on quick ramp-up times, we aim for a quick integration of our CCO services within one week, reducing disruption to your operations.

Implement Quickly

With a focus on quick ramp-up times, we aim for a quick integration of our CCO services within one week, reducing disruption to your operations.

Proactively Manage Compliance

Our approach focuses on proactive management of your compliance program, from policy development to day-to-day operations and regulatory interactions.

Proactively Manage Compliance

Our approach focuses on proactive management of your compliance program, from policy development to day-to-day operations and regulatory interactions.

Check Out Sample Team Profiles

Begin Your Compliance Journey

Benefits

Why Use Outsourced CCO Services

Speak to an expert

Get Strategic Compliance Insights

Our CCOs bring decades of experience across fintech and financial services, offering strategic insights that can shape your business's compliance framework.

Leverage Comprehensive Support

Achieve Efficiency and Cost-Effectiveness

Outsourcing your CCO role can significantly reduce overhead expenses associated with full-time executive positions, offering savings of 30% to 50%.

Implement Quickly

With a focus on quick ramp-up times, we aim for a quick integration of our CCO services within one week, reducing disruption to your operations.

Proactively Manage Compliance

Our approach focuses on proactive management of your compliance program, from policy development to day-to-day operations and regulatory interactions.

Get a Proposal