Regulatory Compliance and Outsourced CCO
GCG’s experienced team can take responsibility for a wide range of services for your firm’s Regulatory Compliance program from creation to oversight to implementation of policies and procedures to conducting audits and managing crisis response. GCG’s clients have included Insurance companies, global investment banks, broker-dealers, institutional and retail trading platforms, hedge funds, regtech, fintech, technology vendors, and various start up initiatives.
Our CCO Capabilities
- Design Develop and implement an effective Regulatory Compliance program
- Draft, implement and update company policies and procedures
- Create internal controls and monitor adherence to Compliance requirements
- Proactively audit processes, practices and documents to identify weaknesses
- Evaluate business activities to assess compliance risk
- Collaborate with external parties when needed
- Establish crisis management and compliance escalation procedures
- Educate and train employees on regulations and industry practices
- Address internal Regulatory Compliance initiatives
- Monitor rule changes and industry developments related to business activities and risk assessments
Connect with us to explore how GCG can help with your regulatory and compliance needs.
Established in 2013