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Focused. Flexible. Fully integrated compliance support.

At Principle Compliance Consulting (PCC), we specialize in delivering practical, scalable compliance solutions to the investment management industry. Whether you need full-time leadership, supplemental expertise or targeted support for a specific initiative, PCC provides trusted guidance that is aligned with regulatory expectations and tailored to your firm.

Outsourced Chief Compliance Officer (CCO) Services

For firms seeking a dedicated compliance leader without the cost and complexity of hiring in-house, PCC offers outsourced chief compliance officer (CCO) services.

Our outsourced CCO services include:

  • CCO designation
  • Development and oversight of compliance policies and procedures
    • Annual risk assessment
    • Annual compliance review and report
    • Updating compliance policies and procedures manual
    • Monitoring of compliance policies and risks
    • Advertising review
    • Quarterly code of ethics support
      • Personal trading
      • Material non-public information
      • Gifts and entertainment
      • Political contributions
    • Email and social media review
    • Regulatory filings and updates
  • Regulatory exam oversight and support
  • Interaction with fund boards (when applicable)
  • Regular communications
    • Compliance training and mentoring
    • Weekly or monthly onsite visits or calls
  • Cybersecurity compliance analysis

We embed directly into your operations, providing strategic oversight and hands-on execution that meets the demands of today’s evolving regulatory landscape.

CCO Support Services

If your firm already has a CCO but needs additional bandwidth, PCC can help. We offer experienced, independent support to carry out key compliance functions, strengthen internal controls and maintain operational continuity.

Our CCO support services include:

  • Development and oversight of compliance policies and procedures
    • Annual risk assessment
    • Annual compliance review and report
    • Updating compliance policies and procedures manual
    • Monitoring of compliance policies and risks
    • Advertising review
    • Code of ethics support
      • Personal trading
      • Material non-public information
      • Gifts and entertainment
      • Political contributions
    • Email and social media review
    • Regulatory filings and updates
  • Regulatory exam and support
  • Regular communications
    • Compliance training and mentoring
    • Weekly or monthly onsite visits or calls
  • Cybersecurity compliance analysis

We work seamlessly with your existing team—filling gaps, boosting capacity and strengthening your compliance infrastructure.

Specialized Project Support

Some compliance challenges don’t require long-term staffing but still demand expert attention. PCC provides as-needed, project-based services to help your team stay ahead of complex or high-impact initiatives.

Examples of project-based engagements include:

  • Conducting mock exams
  • Conducting annual compliance reviews and documentation
  • Reviewing marketing materials
  • Refreshing internal policies and procedures, and training staff
  • Performing gap analysis and program remediation
  • Developing or overhauling compliance manuals
  • Reviewing policies for new regulatory requirements
  • Pre-exam or post-exam response planning
  • Electronic communications capture process development

Whether it’s a one-time project or a long-term engagement, PCC offers the insight and flexibility to help you execute efficiently and with confidence.

Ready to elevate your compliance program?

Learn how PCC can support your firm’s needs, whether you’re just starting out or reinforcing an existing program. Visit our contact page to schedule a discovery call.