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  • Chief Compliance Officer Support

    graphs and chartsOur daily support to your CCO includes regulatory exam assistance, guidance for processes and procedures, and industry intelligence.

    We have the compliance controls in place to reasonably detect, prevent, and correct potential violations of applicable federal securities laws. Through frequent reporting, we provide ongoing updates regarding our compliance program to our client CCOs. Our team also reports on any significant changes to procedures and communicates compliance events within any business lines. Our detailed program and all of its reporting capabilities are accessible at all times through our secure, web-based CCO Portal.

    Our CCO team keeps our clients up to date with regulatory changes by the various regulatory agencies and ensures we implement those changes in a timely manner. We also assist in the customization of the due diligence visits based on your CCO’s requirements.

    To support your firm’s compliance with Rule 38(a)-1, we will provide
    • Opportunities for customized, in-person due diligence visits
    • Grids by business line that align the business processes, federal securities law(s), risks of noncompliance, and compliance controls that exist to detect and prevent violations of those applicable federal securities laws
    • Quarterly Rule 38a-1 reports to client CCOs
    • 24/7 client-specific secured access to the aforementioned compliance materials and other related items via the CCO Portal
    • Quarterly teleconferences to all client CCOs highlighting compliance related topics and program enhancements
    • Periodic regional compliance forums and roundtables at our annual client conference
    • An email communication link (cco@usbank.com) for the CCO to communicate with our CCO
    • Procedural summaries by business line