Our Compliance Support is administrative in nature. The SEC will not allow an advisor to outsource its CCO position and in most small to mid sized firms, the CCO wears multiple hats. Our services enable the CCO to function at a supervisory level, providing them the skilled assistance they need. Back Office Connection does most of the legwork required to maintain the compliance program and we take direction from the CCO.

Our compliance administrative services are designed to breach the inter-departmental barriers that hamper many firms. Many small and mid sized advisors lack the resources required to employ a seasoned Chief Operating Officer that can manage the interconnectivity of compliance with operations and compliance with technology. By having Back Office Connection oversee these three departments your firm gains an advantage in your ability to plan and coordinate the activities of each department to make sure that they are fulfilling their compliance functions as well as their normal functions. With this insight, we can help your firm reach best practices in compliance and help minimize the overall effects of an SEC exam.

We act as your skilled compliance administrative assistant, someone who understands compliance regulation; someone that you can delegate compliance tasks to and rely that they will get done properly. We do not replace your compliance counsel; in fact, we advocate that you maintain legal counsel for compliance issues. What we can do is: