Customized Solutions
Every organization is unique, and one-size-fits-all solutions rarely suffice. Our commitment is to understand our clients' specific needs and craft tailored officer appointment strategies that align with the goals and risk profile of every fund.
Chief Compliance Officer
From the evaluation of internal control structures, to updating and reviewing the Policies & Procedures manuals, we serve in a complete CCO capacity. Vendors are vetted and monitored, including the Advisor, Admin, Distributor, and anyone else engaged by the Fund. Each quarter the CCO will deliver its quarterly compliance report, summarizing the ongoing monitoring performed by the compliance team.
Principal Executive Officer and Principal Financial Officer
As certifying officers of the Fund, we fill both the Principal Executive officer (PEO) and Principal Financial Officer (PFO) roles, based on each Funds’ needs. The PEO or President role is often served by leadership from the Advisor, but for Fund complexes newer to the registered fund industry or short on capacity, our team can step in. The PFO or Treasurer can be filled by an experienced team member creating a natural overlap due to our operational oversight, general expense processing, and ultimately, the financial statement audit.
Secretary and Legal Administration
Before the Board meets each quarter, our legal administration team will produce Pre-quarterly board meeting action items, including drafting of agendas, organizing preparation calls with independent trustees, service providers, and external council. Once the meeting is underway, the Secretary provided to the fund will participate in the meeting, drafting meeting minutes, keeping the agenda on track, and arranging subsequent meetings. Meeting minutes and draft resolutions are then provided to counsel for review.
Anti-Money Laundering Officer
Traditionally performed as part of the transfer agency function, we can integrate our team directly into the transfer agency database and constantly monitor all aspects of the AML program – we cross-reference thePolitically Exposed Persons (PEP) List, Office of Foreign Assets Control (OFAC)List, and Financial Crimes Enforcement Network (FinCEN) lists, among others, to keep you compliant with all things AML. Not using us for TA? We can review, monitor, and facilitate certified, third-party AML audits so you can feel confident that your AML policies are being executed without exception.
