US Investment Compliance
Cordium's consulting services enable you to focus more on running your business while we concentrate on making sure that the regulatory issues are properly addressed.
A more aggressive approach in inspections and enforcement actions is the new normal. The SEC expects a comprehensive compliance program that is effective, well tested and administered appropriately.
However, even in today’s tough regulatory environment, many chief compliance officers (‘CCOs’) are still a compliance department of one. In addition, two thirds of CCOs have multiple roles at their firms. The demands of these multiple roles can sometimes impede the CCO’s efficient administration of a fund’s compliance program.
Cordium can help by providing assistance with each element of a compliance program, allowing you to better allocate your limited resources and time. We can assist you with your oversight responsibility and provide an independent review that minimizes the inherent conflicts between the multiple roles.
We offer different levels of support so that you can choose the level that fits your fund’s needs. Our team will work with you on a regular basis to handle many of your weekly, monthly, quarterly or annual compliance responsibilities (depending on the service level that suits your needs). Our goal is to support the CCO and allow the CCO to focus more time on their other responsibilities.
The scope of the engagement will be determined in collaboration with each client, but typical levels include:
Chief Compliance Officer, US Multi-billion Dollar Hedge Fund Manager