CCO’s often find themselves wearing many hats and, for firms that run lean, compliance, legal, and risk responsibilities can sometimes belong to one individual. This was the case for the CCO of a Hedge Fund managing more than $2.7 billion in assets under management, with only 20 employees.
The CCO found it difficult to juggle being the firm’s only Compliance professional and General Counsel. After consulting several peers in the industry, the CCO found that ComplySci could automate the process of monitoring employees for conflicts of interest.
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