CCO-as-a-Service
Institutional Chief Compliance Officer expertise delivered as a flexible, scalable service
Your Compliance Function, Reimagined
Not every firm needs or can afford a full-time Chief Compliance Officer. But every registered investment advisor needs institutional-grade compliance oversight.
Our CCO-as-a-Service model provides experienced, senior-level compliance leadership on a fractional basis. You get the expertise of a seasoned regulatory professional without the overhead of a full-time executive hire.
Whether you're a startup RIA, a growing independent advisor, or a fintech platform, we scale our involvement to match your needs and budget.
Comprehensive CCO Oversight
Everything your designated CCO should be managing
Who Benefits from CCO-as-a-Service?
Newly Registered RIAs
Firms that have just completed SEC or state registration and need experienced guidance to build their compliance function from the ground up.
Growing Independent Advisors
RIAs that have outgrown their current compliance approach but aren't ready to hire a full-time CCO.
Fintech Platforms
Technology companies launching advisory services who need regulatory expertise without building an entire compliance department.
Firms Facing Complexity
Advisors with specialized business models, complex products, or multi-state operations requiring advanced compliance capabilities.
How It Works
Simple, transparent engagement process
Initial Assessment
We evaluate your current compliance program and identify gaps or areas for improvement
Scope Definition
Together we determine the right level of CCO involvement based on your firm's needs and budget
Ongoing Partnership
Regular check-ins, monitoring, and support with guaranteed response times for urgent matters
Scalable Growth
As your firm grows, we adjust our involvement to match your evolving compliance requirements
Ready to Strengthen Your Compliance Program?
Schedule a consultation to discuss how our CCO-as-a-Service model can support your firm.
Get Started