CORE-CCO is a specialty compliance firm focused on the private fund industry, with a decade of experience in partnering with private fund firms to build and administer, institutional quality compliance programs. We provide proactive, high-touch, compliance resources and expertise to our clients, enabling them to navigate their compliance obligations in the most efficient way possible. The CORE-CCO team includes veteran SEC regulators, seasoned private fund compliance and operational experts, certified AML/KYC specialists, and other professionals with legal, finance, IT, and operational backgrounds, who serve as the compliance team for our clients.
We focus specifically on private fund managers and understand better than most the compliance, regulatory, and business challenges private funds face. We believe that our depth of experience and focus on the private fund space enables us to provide the best-customized compliance solution for private funds.
Our mission is to help our clients succeed in a competitive market by providing customized compliance solutions that fit each client’s evolving needs. Our goal is to make compliance a CORE competency for our clients, resulting in:
- Better ODD results
- More confident LPs
- Lower litigation risk
- Better SEC exam results
We build and manage an institutional-quality expert compliance program at a fraction of the cost it would take to build in-house. By engaging CORE-CCO to proactively lead your compliance effort, you can provide assurance to investors and confidence to your team, freeing them up to focus on their CORE competencies.
CORE-CCO provides specialized compliance services to a variety of private fund firms representing over $50 billion in AUM. Our clients are leading and emerging private equity funds, hedge funds, venture capital funds, and specialty wealth managers. CORE-CCO serves a select group of institutional-quality clients with a strong compliance culture that are willing to commit resources to this critical function.
CORE-CCO is headquartered in Dallas and has satellite offices in Atlanta, Houston, and Austin.
Our Client Mix
Each firm is unique, and the compliance needs of private fund managers differ from other financial services firms. Moreover, there are many different types of private fund managers with nuances to their business that are often not fully understood or appreciated by most compliance firms. The SEC’s private fund expertise and focus is constantly expanding. Regulators and sophisticated investors will expect firms’ compliance teams to have the requisite knowledge and expertise to fully understand the relevant compliance and regulatory landscape as well as the private fund industry. Through years of experience and focus on the private fund industry, CORE-CCO understands the unique challenges of private funds and can provide clients customized solutions to help private fund firms succeed in a competitive marketplace by meeting each client’s evolving needs.
CORE-CCO’s approach in designing an effective compliance solution includes asking the right questions, listening carefully to understand your business, and having extensive experience with hedge funds, private equity funds, venture capital funds, real estate funds, oil and gas funds, credit funds and other alternative fund managers that enable us to effectively customize the right compliance program and provide expert advice that is specific to your business. CORE-CCO serves as an extension of your in-house team to provide the regulatory and compliance expertise your firm needs and that LPs and regulators expect.
FOUNDER/CHIEF EXECUTIVE OFFICER
Kimberly Garber has over 25 years regulatory and compliance experience. A seasoned regulator, she is the former head of the SEC’s Fort Worth Regional Office Examination Program and an expert in federal securities laws and regulatory developments. Ms. Garber is also an expert in private fund compliance issues, providing compliance services to private equity funds, hedge funds, real estate funds, oil and gas and other alternative fund managers. Ms. Garber also previously served as Chief Compliance Officer or Senior Compliance Officer for three national investment management firms. As an experienced compliance officer and regulator, she has extensive regulatory contacts and insights into regulatory and compliance processes and challenges.
DOUGLAS SHIPPEE, CFA
FOUNDER/CHIEF FINANCIAL OFFICER
Douglas Shippee has over 25 years of combined SEC examination/compliance experience and institutional and hedge fund portfolio management experience. His unique combination of buy-side investment and regulatory experience provides invaluable insights into the day-to-day operations of the private fund business, regulatory challenges and practical solutions that make sense from a business perspective. Mr. Shippee is an expert in private fund compliance issues, providing compliance services to private funds, hedge funds, real estate funds, oil and gas and other alternative fund managers.
MANAGING DIRECTOR/SENIOR COMPLIANCE OFFICER
Jose Santiago has over 25 years of regulatory and compliance experience. After spending 5 years as a SEC Examiner, Mr. Santiago went on to work in various compliance roles for several national & multi-national investment firms. For the last decade, he has been consulting with U.S. and European investment firms on a variety of compliance matters. His tenured experience is invaluable in guiding clients through the current regulatory maze. Mr. Santiago is an expert in private fund compliance issues, providing compliance services to hedge funds, private equity funds, other alternative fund managers and specialty wealth managers.
MANAGING DIRECTOR/SENIOR COMPLIANCE OFFICER
Monica Blanco brings over 20 years of compliance expertise to the CORE-CCO team. Based in Houston and a graduate of Rice University, Ms. Blanco provides extensive value to CORE-CCO’s client base. She has a particular expertise in private funds – both hedge funds and private equity funds – as well as state registration issues and has helped clients navigate compliance throughout a variety of market cycles. Ms. Blanco has overseen dozens of SEC and state regulatory examinations for clients and provides compliance services to hedge funds, private equity funds, other alternative fund managers and specialty wealth managers.
NICOLE DE LA ROCA
MANAGING DIRECTOR/SENIOR COMPLIANCE OFFICER
Nicole De La Roca is a private fund compliance expert and graduate of Yale University. Ms. De La Roca has been working in the regulatory compliance and anti-money laundering space since 2012. She holds Series 7 and 24 licenses and is a Certified Anti-Money Laundering Specialist as well as a Certified Global Sanctions Specialist. Ms. De La Roca began her career in the compliance and AML departments of a diversified financial services company and has served on the compliance team for a large, multi-national hedge fund. She provides compliance services for hedge funds, private equity funds and other alternative fund managers.
SENIOR COMPLIANCE OFFICER
Anne Hill has over 20 years of experience in the legal, regulatory and compliance fields. With a J.D. from Duke University School of Law, Ms. Hill began her career as a corporate and securities attorney at Thompson & Knight in Dallas before joining the in-house legal and compliance team of a multi-billion dollar global fund manager where she spent 15 years advising in various legal and compliance roles ultimately becoming its Chief Compliance Officer. From there, Ms. Hill joined a large Dallas-based wealth management firm as its Chief Compliance Officer. She brings extensive experience with the ever-evolving investment adviser regulatory landscape to long/short equity funds, multi-strategy fund of funds, venture capital funds, quantitative fund of funds, separately managed accounts and private wealth management clients and has overseen several SEC examinations. Ms. Hill draws from decades of practical experience of working closely with operations, investor relations, trading and portfolio management teams to create and implement compliance programs carefully tailored to a client’s needs.
ALISON OSBURN, Esq.
CHIEF REGULATORY COUNSEL/SENIOR COMPLIANCE OFFICER
Alison Osburn is a 15-year hedge fund compliance veteran. Previously a senior compliance officer at a large multi-strategy fund and Chief Compliance Officer of its broker-dealer, Ms. Osburn has stewarded numerous funds through their compliance program life cycles. Graduating cum laude from Southern Methodist University and receiving her J.D. from SMU Dedman School of Law, Ms. Osburn serves as CORE-CCO’s advisor on federal securities laws, U.S. and foreign rules and regulations, and regulatory developments. Ms. Osburn’s private fund clients benefit from her extensive knowledge and expertise in annual reviews, regulatory exams, registrations, and a deep understanding of private funds and the complex regulatory challenges they face.
SENIOR COMPLIANCE OFFICER/MANAGING DIRECTOR
Askari Foy has over 25 years regulatory and compliance experience. Mr. Foy is a former head of the SEC’s Atlanta Regional Office Examination Program and the National Technology Examination Program, and served on the SEC Exam Division’s Executive Committee and co-chaired the National Risk and Examination Steering Committee. He has served as a Chief Compliance Officer and in other senior leadership roles at investment management firms, regulatory consulting firms, and a public accounting firm. Mr. Foy has a diverse background in the investment management industry, including establishing compliance strategic plans, spearheading compliance risk management initiatives, and providing regulatory and compliance advice to private equity funds, hedge funds, alternative funds, and other asset managers.
Why CORE-CCO Excels
Private Fund Focus
CORE-CCO provides compliance services to private fund managers. Our singular focus allows our clients to receive focused expert advice.
The CORE-CCO team includes multiple former SEC staff members who have conducted hundreds of SEC examinations.
Clients engage CORE-CCO to help manage their compliance risk. CORE-CCO client teams work proactively to stay ahead of our clients’ compliance needs and not simply react to requests or questions.
CORE-CCO recognizes that each client is unique and that every engagement should reflect that. Tailoring compliance programs to specific client business practices and risks is a hallmark of our service.
As an extension of our clients’ in-house team, providing exceptional client service and support is our singular focus.
Attentive Team Approach
CORE-CCO manages client engagements utilizing dedicated compliance teams of experienced professionals with complementary skills. We strive to provide consistent points of contact to make our client interactions most efficient.