COO Services for Investment Managers

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Growing investment firms must manage operational issues while delivering excellent investment performance and client service. Symphony offers an affordable way to manage critical non-investment items by providing services on a flexible basis.

Operations Management

• Conduct operations due diligence for all firm functions

• Draft Operations Manual to include all operations procedures

• Vendor search and selection based on the firm's needs

Compliance & Legal Oversight

• Review compliance procedures to design CCO checklist

• Initial SEC Registration: Draft ADV Part I, II & III and Compliance Manuals

• Annual Regulatory Updates: ADV filings, Compliance Reviews

Marketing & Client Management

• Design client presentations, fact sheets, DDQs

• Draft investor letters on a quarterly and annual basis

Human Resource Planning

• Symphony Recruiting manages the recruiting process for staff at all levels of the organization

• Design and implement appropriate training programs

Financial & Strategic Management

• Design and manage the firm's budget and forecasting plan

• Manage vendor relationships