COO Services for Investment Managers

​

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

• Assist with set up of trading, reconciliations, client service procedures

• Vendor search and selection based on the firm's design & 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, Training

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

• Symphony Recruiters are equipped to assist with building job descriptions, providing market insights on hiring needs and compensation schemes and source high performing talent

Financial & Strategic Management

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

• Manage vendor relationships