CFO, COO, CCO, CTO Services
Introduction
Chief Financial Officer, Chief Operating Officer, Chief Compliance Officer, and Chief Technology Officer are critical functions for every firm. These roles are only increasing in importance given today’s regulatory environment and demand for transparency.
With our core competencies and vast experience, Constellation is the right choice for your outsourced executive team. Constellation removes the burden and worries associated with the CFO, COO, CCO and CTO positions so you can focus on making investment decisions and generating returns.
Whether acting in an on-site capacity or remotely, our professional team will apply their know-how to seamlessly become your senior management operations team.
Our sample service offerings:
Chief Financial Officer
- Financial Statements
- Income Tax Returns
- Monthly Management Company Statements
- Budgets / Forecasts
- Bookkeeping
- Reconciliations
- Investors Questions
- Dealing with Administrator
- Dealing with Auditors
- Financial Policies and Procedures
Chief Operating Officer
- Settlements/Clearance
- Prime Brokerage/Administrator Reconciliations
- Portfolio Accounting
- NAV Approvals
- NAV Calculations
- Investor Responses
- Administrator Selection
- Prime Broker Selection
- Operating Policies and Procedures
- Director Selection
- System Evaluation and Selection
Chief Technology Officer
- Hardware Purchases and Maintenance
- Disaster Recovery and Business Continuity
- System Implementation
- Technical Architecture development and maintenance
- Communication with Prime Brokers, Administrators
- Communication with Investors
- Network Security
- Physical Security
- Technology Policies and Procedures
Chief Compliance Officer
- Develop, Maintain and Administer compliance policies and procedures.
- Assess and review portfolio management processes, allocations
- Assess and evaluate consistency of portfolios with clients’ investment objectives, disclosures by the adviser, and applicable regulatory restrictions
- Assess and review your trading practices, including procedures by which the adviser satisfies its best execution obligation, uses client brokerage to obtain research and other services (“soft dollar arrangements”), and allocates aggregated trades among clients, as appropriate
- Assess and review your proprietary trading of the adviser and personal trading activities of supervised persons
- Assess and review the accuracy of disclosures made to investors, clients, and regulators, including account statements and advertisements
- Assess and review the process associated with safeguarding of client assets
- Assess and review the accurate creation of required records and their maintenance
- Assess and review marketing advisory services, including the use of solicitors
- Assess and review processes to value client holdings and assess fees based on those valuations
- Assess and review safeguards for the privacy protection of client records and information
- Assess and review business continuity and disaster recovery plans
For more information about Constellation’s services call 212.300.6250 or e-mail .