US mutual fund compliance services

Services include 

Chief compliance officer  

• Managing the compliance risk assessment process 
• Monitoring the implementation and effectiveness of policies and procedures 
• Recommending policy and procedure enhancements 
• Reporting to the fund management and board 

Sarbanes-Oxley Officer 

• Providing the principal executive officer and principal financial officers for public funds 
• Reviewing and certifying regulatory filings 
• Complying with disclosure controls and procedures 

Anti-money laundering officer 

• Overseeing compliance with fund anti-money laundering policies and address issues 
• Filing suspicious activity reports 
• Reporting to fund management and board 

Chief compliance officer support 

• Providing reporting and certifications  
• Assisting with the design of the fund compliance program
• Providing tailored testing of your operations 
• Consulting on board reporting and support 
• Providing fund design and consultation 

Portfolio trade compliance 

• Maintaining the regulatory compliance rules 
• Performing and reporting on daily post-trade compliance testing 
• Performing analysis on compliance warnings and breaches and managing resolutions