As an Outsourced Chief Compliance Officer (CCO), DuMont Consulting assumes responsibility for the design, implementation, and ongoing oversight of your firm’s compliance program. We develop, review, and maintain customized written supervisory procedures (WSPs), compliance manuals, and internal policies tailored to your business model and regulatory profile. Our team ensures continuous adherence to SEC, FINRA, and state regulatory requirements, conducts compliance testing and annual reviews, manages regulatory filings, and serves as the primary liaison with regulators during examinations, audits, and inquiries. By outsourcing the CCO function, investment firms gain proactive regulatory guidance, enhanced governance, and reduced exposure to enforcement actions.