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CCO – Regulatory & Compliance

FORMULATING AND EXECUTING REGULATORY AND COMPLIANCE STRATEGIES IN AN EVER-CHANGING ENVIRONMENT.

With an emphasis on innovative, yet practical solutions, our regulatory & compliance solutions experts not only react to the latest requirements, but they also help clients to identify and control future regulatory risks.

Who we serve

At Constellation, we collaborate on both Buy and Sell-side with Chief Compliance Officers, General Counsel, Compliance Managers, Operations Managers, Business Line Executives and other compliance professionals at asset management firms and financial services institutions.

What we do

We help our clients evaluate and improve their control environment, conduct a thorough risk assessment, recommend and implement appropriate technology as needed, and establish a robust and sustainable compliance program to comply with the ever-changing and expanding regulatory oversight.

With service ranging from initiating registration for investment advisers and complex regulatory filings to custom-tailoring full-scale programs and providing ongoing compliance support, our experts enable organizations to meet regulatory requirements, mitigate regulatory risk, public relations risks, investor concerns and scrutiny and, most importantly, create a competitive advantage.

How we do it

At Constellation, you’ll have senior level managers guiding you through all areas of compliance management and helping you maneuver through intense levels of scrutiny from the SEC, FINRA, CFTC, NFA, state agencies, and other regulatory bodies. When you engage with us, you’ll also have access to operational risk experts who have extensive experience on both sides of the consultant/client relationship.

We approach every engagement as a fully integrated member of your senior management compliance team. This alleviates the burden and concerns of the CCO position. So you can spend more time managing your business needs.

Business Advisory & Consulting

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Increasing efficiencies, performance, and enhancing entire organizations

CFO - Accounting & Finance

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From shadow NAV calculations to outsourced CFO services

COO - Operations & Trade Support

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Infrastructure support that gives you the peace of mind to focus on the front office

CCO - Regulatory & Compliance

portfolio

Formulating and executing regulatory and compliance strategies in an ever-changing environment