Alaric is a leading provider of Chief Compliance Officer Services.
For those clients who do not currently employ a Chief Compliance Officer (CCO), Alaric provides an independent, competent and experienced CCO and the assurance of an independent and transparent compliance program that is sheltered from undue influence or incentive structures.
Each outsourced CCO we provide is fully backed up by the expertise of a team of compliance professionals and the full resources of the Alaric organization.
- Formal, periodic compliance reviews
- Reports to management and to the Board of Directors
- Continuing compliance education
- Ongoing compliance consulting support
How Clients Benefit from CCO Outsourcing
Alaric’s Team of Experienced Individuals
- Alaric’s team of experienced individuals, who meet the SEC’s criteria for expertise, competence and authority for SEC-registered or unregistered advisory firms and fund managers (mutual funds, hedge funds or fund of funds).
- Alaric CCOs have the independence to assess our clients’ business practices with a clear eye and to intervene before problems turn into violations.
Consultations and Examinations
- Alaric’s CCOs will evaluate our clients’ existing programs and make recommendations to fill any identified gaps. If needed, Alaric will help build a new compliance program based on our clients’ specific requirements.
Through our participation in more than 100 regulatory examinations as CCOs, we are in the unique position of understanding current regulatory trends and having the hands-on experience to help clients develop and manage effective compliance programs to identify issues before they become violations.