Define authority and flow
We clarify the information the CCO needs, management’s decisions, approval boundaries, and how potential issues are escalated.
All services
Fractional compliance leadership
Outsourced CCO support with defined oversight and real operating boundaries.
Nomos offers a structured outsourced-CCO engagement for small RIAs that need designated compliance leadership, a consistent review cadence, and a clearer escalation path without assuming that compliance can be fully automated or delegated away.
Discuss your firm’s needsWhat the workstream covers
A defined engagement, not a generic promise.
The right structure begins by documenting the firm’s needs, authority, information flow, internal responsibilities, and named-role requirements. A credible engagement is specific about who reviews what, how issues surface, and where the firm retains decision-making responsibility.
Engagement-scoping and responsibility mapping
Compliance cadence, escalation, and reporting framework
Annual-review and examination-readiness coordination
Named-role options scoped to the firm’s facts and requirements
Nomos approach
Start with the actual firm. Then make the work visible.
Create an accountable cadence
The engagement is organized around recurring reviews, management touchpoints, changes, evidence, and the firm’s actual business model.
Protect the distinction
Project work, legal questions, outside vendors, and firm implementation responsibilities are scoped rather than quietly folded into a generic monthly promise.
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