CCO & FinOp

Aspect Provides Outsourced CCO and FinOp Professionals

Some broker-dealers or investment advisers may benefit from outsourcing the roles of Chief Compliance Officer (CCO) or Financial & Operations Principal (FinOp) for a variety of reasons. Perhaps you need to free up internal resources or do not have certain expertise in-house.

Aspect can:

  • Designate an expert to serve as your CCO and/or FinOp, including availability for use in marketing materials if desired.
  • Administer a full-service compliance program customized for your business.
  • Dedicated specific hours exclusively for your company.