Outsourced Chief Compliance Officer services

A dedicated CCO backed by an entire compliance department

Today’s regulatory environment requires experienced compliance leadership capable of supporting growth, managing risk, and navigating evolving regulatory expectations.

IQ-EQ’s Outsourced Chief Compliance Officer (OCCO) solution provides a seasoned chief compliance officer with deep industry and regulatory experience, supported by a team of regulatory specialists and institutional-grade compliance infrastructure, enabling firms to navigate evolving regulatory expectations with confidence.

Our OCCO solution is often a fit for firms that are:

• Launching as a new registered investment adviser
• Growing faster than their internal compliance resources
• Replacing a departing CCO
• Seeking more experienced compliance leadership
• Looking to reduce overhead while strengthening compliance oversight

We support a broad range of regulated financial services firms, including:

• SEC-registered investment advisors (RIAs)
• Exempt reporting advisors (ERAs)
• Hedge fund managers
• Private equity firms
• Venture capital managers
• Private credit funds
• Real estate managers
• Broker-dealers
• Commodity trading advisors (CTAs)
• Commodity pool operators (CPOs)
• Introducing brokers (IBs)

More than an outsourced resource, IQ-EQ serves as an extension of your organization, combining executive-level compliance leadership with institutional-grade compliance resources and support.

What your outsourced CCO can help with

As your designated CCO, we become an extension of your management team and oversee the day-to-day administration of your compliance program. This includes:

• Administering and maintaining compliance policies and procedures
• Conducting ongoing compliance oversight and annual compliance reviews
• Maintaining, testing and monitoring programs
• Monitoring regulatory developments and emerging risks
• Reviewing marketing and advertising materials
• Overseeing employee compliance programs and Code of Ethics requirements
• Managing regulatory filings and reporting requirements
• Coordinating regulatory examinations and inquiries
• Participating in investor and LP due diligence meetings
• Delivering compliance training
• Providing ongoing compliance guidance to management and employees

Technology agnostic by design

Because our model is not committed to any single vendor, platform or data architecture, we build our OCCO engagement around your firm’s environment as it exists. We’re free to evaluate and adopt the strongest available solution in each category, choosing the right platform for every client, every time.

Our technology-agnostic model gives our clients three durable advantages:

• Faster response when requirements change
• Seamless integration with your existing systems, rather than a mandated migration
• Ongoing access to the best available technology in each functional area

More than an outsourced CCO

Our OCCO solution is backed by IQ-EQ’s comprehensive range of compliance consulting services, giving clients access to compliance technology, regulatory consulting, testing and monitoring, training, marketing review support, forensic testing, and ongoing compliance operations support.

Unlike traditional outsourced CCO arrangements, clients gain access to an integrated compliance infrastructure designed to support day-to-day regulatory obligations, regulatory examinations, strategic initiatives, and long-term business growth.

Ready to elevate your compliance program?

Whether you’re launching as a new adviser, replacing an existing CCO, or enhancing an existing compliance program, IQ-EQ can provide the experienced compliance leadership and institutional support needed to help your firm navigate an increasingly complex regulatory environment.

Connect with an IQ-EQ compliance specialist to discuss your firm’s unique needs.