top of page
Commercial Buildings

Compliance Consulting Firm

We help investment advisers, investment companies, private funds, mutual funds, ETFs, fund boards and hedge fund managers stay compliant with legal and global regulatory compliance standards.

COMPLIANCE4.png

WHO WE ARE

COMMITTED TO EXCELLENCE

At Compliance4, we understand that regulatory oversight and compliance are not always easy.

 

Compliance4 is a boutique regulatory compliance consulting firm based in Portland, Maine. We are a leader in the compliance and regulatory services industry by offering expert compliance services and high quality comprehensive regulatory solutions.

We offer superior outsourced compliance resources and expertise, designed to be an integral part of our client’s daily operations, resulting in a stronger, more focused and competitive firm. We strive to help our clients succeed in a financial marketplace by providing customized, sensible and practical compliance solutions that fit each client’s evolving needs.

We are determined to serve our clients with the highest level of professionalism and with a personal, high-touch approach to client relations. We value long-term relationships and design our compliance solutions to grow and evolve as our clients do the same.

We focus on providing superior client service, the highest quality work product, and the most favorable pricing possible with one clear mission in mind: to ensure any compliance expense is seen as a true value-add and not simply an operational cost.


Compliance4 consulting services include helping firms respond to the evolving social media platforms in the financial services industry as social media and communicating with clients change. 

Compliance4 helps your business address the technical and operational aspects of social media and electronic communications. We provide "roll up your sleeves" assistance with social media and electronic communication reviews and consulting. Give us a call today to set up your first consultation.

Skyscrapers and Sky
Broker

Investment Advisors

Outsourced CCO and Deputy CCO advisors for investment advisors.

Investment Companies

Independent fund outsourced Chief Compliance Officer for Investment Companies.

Beauty Vlogger

Social Media Compliance

Employee social media compliance auditing and reporting.

Emailing

Electronic Communications

Reviews and consulting for your electronic communications.

Subscribe

Stay up to date

bottom of page