Compliance Leadership Grounded in Experience
CenterPoint brings senior-level compliance expertise to organizations across the investment management industry, pairing deep regulatory knowledge with sound judgment and hands-on support.
Compliance Is a Matter of Judgment
Effective compliance depends on understanding regulatory expectations, governance responsibilities, and how both play out in day-to-day operations. That is where CenterPoint focuses: senior attention, practical judgment, and engagement that lasts.
Senior Professionals, Directly Involved
Experienced compliance professionals stay engaged in your work throughout the relationship, not just at the outset.
Guidance You Can Put Into Practice
Our recommendations are clear and workable, shaped by your regulatory obligations and the way your organization actually operates.
Built for the Long Term
We help you maintain and strengthen your program as regulatory expectations shift and your organization evolves.
Two Practices, One Consistent Approach
CenterPoint works through two dedicated practices, each defined by the organization we serve: the advisory firm, or the fund trust and its board.
Investment Advisor Compliance
Senior-level compliance support for registered investment advisors across a range of sizes, strategies, client types, and ownership structures, including advisors to private funds and registered funds. We serve as outsourced CCO, support in-house CCOs and compliance teams, manage ongoing compliance programs, and lead annual reviews, regulatory filings, and examination readiness.
Fund Trust Compliance and Governance
Trust-level compliance leadership and governance support for fund trusts and their boards, across mutual funds, ETFs, closed-end funds, interval funds, and tender offer funds. Here the trust itself is our client, and our work includes trust CCO services, Rule 38a-1 program administration, board reporting, oversight of advisors and service providers, and support for fund launches and regulatory initiatives.
A Practical, Engaged Approach
Understand the Context
Every engagement begins with understanding how the organization operates, how responsibilities are allocated, and which compliance priorities matter most.
Assess Current Framework
We evaluate existing policies, processes, documentation, and oversight structures to identify strengths, gaps, and areas requiring attention.
Develop Practical Solutions
We work collaboratively to strengthen policies, processes, documentation, and governance in ways that reflect the organization’s actual needs.
Remain Closely Involved
As responsibilities, products, and regulatory expectations evolve, we continue to provide hands-on guidance and support.
Depth Across Advisory Firms and Fund Structures
Different organizations carry different regulatory obligations. We shape our support around the business model of each advisory firm and the structure and governance of each fund trust.
Advisory Firms
Support that reflects the distinct obligations of each business model, from wealth management to private and registered funds.
Fund Trusts and Boards
Trust-level oversight and board support tailored to each structure’s governance and service-provider arrangements.
Let’s Talk About Your Compliance Needs
Whether you need ongoing compliance leadership or help with a specific regulatory matter, we would welcome the chance to understand your organization and how we can help.