At Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”), we understand that the needs of each firm are unique. That’s why we work to provide expert ongoing compliance support and management, where our involvement is dependent on the level of support you require. From assisting with fundamental compliance requirements to stepping in as your designated CCO, we are happy to customize any of the packages below in order to successfully support the strength of your compliance program.
You may have the manpower to handle most of your compliance internally – but any firm can benefit from a second set of eyes. Our Basic package provides essential compliance maintenance services that ensure the right boxes are checked and give you peace of mind. This package will benefit those who are looking for minimal compliance support and is ideal for state-registered RIAs.
- Policies & Procedures Manual Customization & Maintenance
- Regulatory Filings
- Quarterly Calls With the CCO
Looking for a more in-depth approach to compliance maintenance services? Our Core package is geared towards those wearing multiple hats within their firm who are looking for more frequent check-ins and/or compliance support. This package supports the seasoned compliance professional looking for an expert resource to bounce ideas off of or take things off their already full plate.
- All Services Included in the Basic Package, Plus;
- Annual Review
- Quarterly Reviews & Testing of Controls
- Monthly Compliance Calls With CCO
- Review of Marketing & Advertising Materials
- Employee Compliance Training
- Email Reviews
As an expert assistant to your CCO, we will manage your compliance program with a comprehensive approach. Our Deputy CCO package is ideal for compliance professionals who are looking to hand over a majority of their responsibilities so they can focus on other aspects of their role. Beyond the services offered in the Basic and Core packages, Deputy CCO services include a higher frequency of testing, more mentoring and education, onsite visits, and much more.
- All Services Included in the Basic & Core Packages, Plus;
- Annual Risk Assessment
- Cybersecurity Compliance Risk Analysis
- Regulatory Exam Assistance
Our Outsourced CCO packaged services are our most involved, meant for those who need full compliance support. This is a popular and economical option for clients who are looking for an alternative to hiring a full-time CCO. You may be a newly registered firm, a firm in a transition, or an established firm with a newly or soon-to-be vacant CCO seat. As your trusted, designated CCO, we will take on the full responsibility of performing all duties of the role.
- Full Responsibility for Maintaining & Overseeing the Firm’s Compliance Program
- Ongoing Communication With Senior Management
“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”
Michelle L. Jacko, CSCP, CEO