DFP Partners can provide a qualified FINRA Series 24 registered principal to act as your firm’s designated Chief Compliance Officer (CCO).
Our team can work on a retainer basis, acting as your designated CCO to administer your compliance program. As your outsourced CCO, we can develop a customized compliance program, lead the adoption of written policies and procedures, and execute the annual compliance review.
Our team is exposed on a daily basis to changing regulatory conditions and prepared to react to regulatory changes on a timely basis.
Outsourcing is a cost effective alternative to the salary and benefits cost of a full-time CCO for smaller, limited-purpose firms.
Take advantage of our knowledge and competence concerning industry best practices. Remain up-to-date regarding rules, regulations, and their application by leveraging the expertise we have gathered through working with multiple firms and regulators.