What does it mean to have an outsourced CCO?

More RIAs are turning to outsourced CCOs to manage their compliance programs. But the arrangement only works if roles, responsibilities, and accountability are clearly defined. This webinar breaks down what a well-structured outsourced CCO relationship actually looks like, and where firms most often get it wrong. 

This webinar will cover: 

• What the outsourced CCO role does and does not include 
• How to set KPIs and oversight expectations that hold up to scrutiny 
• Documentation standards the SEC expects to see 
• Key applications from the SEC's 2015 Outsourced CCO Risk Alert — and what they mean for your firm today 
• How to tell whether your current outsourced model is working or falling short 

Who should attend:

• RIAs transitioning from state to SEC registration 
• Firms already using an outsourced CCO who want to assess their current arrangement 
• Firms facing CCO retirement or a compliance leadership transition 

Your speakers

Kyrstin Ritsema, IACCP®
Executive Director – Compliance Services
Confluence

Kyrstin leads a team dedicated to advancing regulatory compliance for established and developing SEC and FINRA-regulated companies through outsourced compliance services like outsourced chief compliance officers, mock exams, annual reviews, managed services, risk assessments, and consulting.

Victoria DeLucia, CRCP^®
Director of Institutional Engagement
Confluence

Victoria serves as the Director of Institutional Engagement with Confluence. In this capacity, she is the senior point person for key Compliance Services relationships, responsible for ensuring quality standards and client satisfaction. Leveraging her more than 30 years of experience in the financial services industry, Victoria assists investment advisers, broker-dealers, and other registrants in advancing the effectiveness of their compliance programs through mock SEC exams, annual compliance reviews, risk assessments, compliance program management, program remediation, AML exams, and other special projects.

Can't make the live session? Register today and we'll send you the recording once the webinar has taken place.