Recent Institutional Investor Due Diligence Reviews and regulatory examinations demonstrate the need to document and formalize your firm’s procedures and controls for Operational Risk Management and Compliance.

Additionally, the regulatory rules require that the compliance officer develop a comprehensive compliance training program for their firm.

The RCA’s member benefits section delivers an all inclusive resource, placing your firm on the forefront of best practices by supplying:

• Continuing Professional Development: We offer an Outreach Webinar Series providing practical, current, best practices training, which according to Ernst & Young’s latest study positions your firm and its personnel ahead of the curve.



• Practice Guide Library, including: forms, templates, exemplar language, white papers and regulatory briefs.



• Conference Materials: To the extent possible, the RCA provides access to the lecture materials and audio from the various RCA panels at events co-produced with Institutional Investor and others, as well as our corporate sponsors.



• CCO for Hire Registry:, A key tool to due diligence unlicensed compliance practitioners when your firm conducts a search for a compliance officer or consultant. (For more information reference the CCO for Hire section.)

The CCO University offers a 28 course curriculum to obtain a Master’s Certificate in Adviser Compliance. The curriculum serves as the “finishing school” which equips your personnel to stand out as accomplished professionals in our industry. (For more Click Here.)