Finding the Right CCO for a Unique Firm



A $2B alternatives manager in Southern California required a Chief Compliance Officer for its advisory, brokerage, and futures compliance programs.

The firm had aggressive growth goals, highly complex products, an ambitious “Type A” culture, and an unusual geographic location.


We assessed the firm’s organizational structure, and then conducted a needs analysis to define specific areas of technical expertise, soft skills, and experience required to succeed in this particular sub-industry and firm culture. We then tested the marketplace to gauge potential obstacles and interest with regard to the client’s location and industry and developed a national search strategy designed to engage high-potential candidates.

First-hand experience in the client's industry and the role of CCO allows us to develop a challenging and exhaustive technical interview to ascertain the depth and breadth of  final candidates’ technical expertise and their performance under pressure. We applied our deep insights in the form of detailed, confidential written profiles for multiple eminently qualified candidates.


Both the client and the candidates were well informed, engaged, and treated fairly throughout the process. They all enjoyed an efficient and effective candidate evaluation process that delivered a pool of high-qualified candidates on schedule and on budget from which the client appointed their new CCO.