Outsourced Compliance Solutions
Comprehensive Compliance Partner
Core's expert compliance professionals will work closely with you to serve as your dedicated compliance team. As your firm’s Outsourced CCO, Core Compliance can do the heavy lifting involved with running a comprehensive compliance program, from compliance manual updates, conducting annual reviews and handling regulatory exams. Our goal is to ensure that your compliance program can withstand regulatory scrutiny and that your firm is fully up to speed on the evolving regulatory landscape.
Our Outsourced CCO Package is our most involved, meant for those firms needing full compliance support. For firms looking for an alternative to hiring a full-time, in-house CCO, this Package is a comprehensive yet economical option. Whether your firm is newly registered, a firm in transition, or an established firm with a newly or soon-to-be vacant CCO seat, as your trusted, designated Chief Compliance Officer, we will take on the full responsibility of performing all duties of the role.
- Full responsibility for maintaining and overseeing your firm’s compliance program
- Manage ongoing communication with senior management
- Compliance Manual Updates
- Annual Reviews
- Regulatory Exam Management
- Cybersecurity Assessments
- And much more
The Core Compliance Difference
Our Compliance Technology Platform
At Core Compliance, we leverage compliance technology from Orion Compliance to enhance and streamline the maintenance of your compliance program. We work with your team to implement a solution suitable for your firm's Code of Ethics reporting, personal trading oversight and periodic attestations and disclosures.
Why Choose Core?
We keep our fingers on the pulse of regulatory developments so you don’t have to. Partner with an experienced compliance team that will take the time to learn the unique challenges of your business to offer comprehensive compliance solutions designed to meet your needs. Your dedicated team of compliance professionals is here to help mitigate risk and sustain the future growth of your firm.