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
• 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