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ADDITIONAL INFORMATION
WHAT IS A FRACTIONAL CCO? BENEFITS AND IMPLEMENTATION
A fractional Chief Compliance Officer (CCO) offers part-time senior expertise to manage regulatory obligations without full-time costs. TAFT provides fractional CCO services for fintechs and funds, embedding leadership calibrated to exposure levels.
DEFINITION AND ROLE
A fractional CCO oversees compliance programs, reporting to boards and interfacing with regulators like SEC and FINRA. It's ideal for startups or firms in transition, ensuring adherence to the Investment Advisers Act and similar laws.
BENEFITS
Cost-effective access to institutional knowledge.
Flexibility for scaling operations.
Enhanced governance and culture building.
Preparation for audits and exams.
Benefit
For Fintechs
For Funds
Cost Savings
Avoid full salaries
Manage variable AUM
Expertise
Rapid regulatory navigation
Investor confidence
IMPLEMENTATION GUIDE
Evaluate your firm's regulatory needs.
Define scope: e.g., program oversight or exam prep.
Integrate the CCO with internal teams.
Monitor performance and adjust as regulations evolve.
In 2025, fractional roles are increasingly popular due to heightened scrutiny on outsourced compliance.
FAQS
Who needs a fractional CCO?
Firms under $150M AUM per SEC rules.
What qualifications are required?
Experience in global regimes.
