Outsourced Compliance/CCO Support
Partner with Bates Compliance to ensure that your compliance program is running smoothly and operating efficiently. Whether you represent a single-member firm or an entire compliance department, partnering with Bates provides you with peace of mind that all the regulatory filings are up-to-date and that your compliance program will meet and exceed regulatory scrutiny.
Our Annual Compliance Support Package include:
- Required Annual Review under Rule 206(4)-7
- Required Annual Updating Amendment
- Regulatory updates to Compliance Manual, Code of Ethics, and Business Continuity Plan
- Annual Compliance Meeting
- Compliance Program Calendar
- Regulatory Filings (Form U4, U5, 13F, Form PF)
- General Compliance Consulting upon request
We also provide Outsourced Compliance Officer support, including:
- Serving as Client’s board-approved Chief Compliance Officer
- Participating in status calls to discuss BSA/AML Compliance
- Supporting staff with customer onboarding and sanctions screening processes
- Supporting staff with transaction monitoring oversight
- Supporting regulatory report filings
- Guiding the Company in business decisions relating to BSA/AML risk and compliance
- Creating, enhancing, and operationalizing BSA/AML compliance policies and procedures
- Supporting updates to Clients existing AML Compliance Program and Risk Assessment
- Assisting Client’s compliance and leadership teams to improve the efficiency of the corporate governance resources and systems
- Providing updates regarding relevant regulatory matters, legislative activity, etc.