Bridge

Key Bridge Compliance offers three service levels:

Outsourced chief compliance officer

A Key Bridge Compliance professional will serve as the named CCO on your firm’s Form ADV. Since the CCO is personally identified on the Form ADV, he or she will take on much of the risk associated with the CCO position.

The CCO will oversee the monitoring and review of your firm’s compliance program, which will include periodic audits, compliance education and training, and regulatory filings.

Built into this service is the ability of any member of the firm to communicate with the CCO regarding all compliance related questions or concerns.

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Compliance Back Office Support

This service offers oversight of the compliance program, while an employee of your firm remains the named CCO. Key Bridge will oversee the monitoring and review of your firm’s compliance program, which will include periodic audits, compliance education and training, and regulatory filings.

Built into this service is the ability of any member of the firm to communicate with assigned Key Bridge staff regarding all compliance related questions or concerns.

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Compliance Consulting

Some firms are able to meet their day to day compliance needs with internal resources. On the ever-changing compliance landscape, with evolving regulations and shifting interpretations, even the best compliance program may need assistance keeping up.

Key Bridge can help by providing project-based services. Examples include mock audits and risk assessments.

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