ENSURING COMPLIANCE WITH ALL FINRA AND SEC RULES
The Chief Compliance Officer (CCO) plays a critical role in ensuring the firm adheres to the complex web of financial regulations and industry standards, such as those set by the SEC, FINRA, and other regulatory bodies. Since broker-dealers handle securities transactions, manage client accounts, and provide investment advice, compliance is a top priority to mitigate legal and reputational risks.
Our outsourced CCO services are tailored to fit YOUR needs. These services can include (but not limited to) designing, implementing, and monitoring compliance programs that address anti-money laundering (AML) rules, suitability standards, reporting obligations, and other regulatory requirements. By outsourcing this function, broker-dealers can access specialized expertise while focusing on their core business activities, ensuring they stay ahead of evolving compliance challenges without the overhead of a full-time, in-house executive.
OUR OUTSOURCED CCO SERVICES INCLUDE:
Why Choose Us
Since 2015, Cartana Consulting Solutions has risen up to the challenge of supporting FINRA member firms in their financial responsibilities. Our goal is to provide broker dealer owners and executives peace of mind - allowing them to fully focus on day-to-day business operations.
A clean record
Our commitment to maintaining high professional standards is something we take pride in. As a testament to our dedication and professionalism, you will not come across any disclosures on the broker check pages of our FINOP consultants.
EXCEPTIONAL SERVICE
With 100% client satisfaction, you can rest assured that we will carry out our services for your firm, without fail.
PROVEN PERFORMANCE
Rest assured that our dedicated team will thoroughly execute the services for your firm with attention to detail. Our goal is to ensure that all work is completed in a timely manner and in strict accordance with industry standards.
