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Compliance Consulting & Outsourced CCO Services

We are a boutique compliance consulting firm. We help investment advisers, investment companies, private funds, mutual funds, ETFs, fund boards and private fund managers stay compliant with legal and regulatory compliance standards. We also provide outsourced CCO Services.


We're 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, outsourced Chief Compliance Officer Services, compliance consulting, 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 the financial marketplace by providing customized, sensible and practical compliance solutions that fit each client’s 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 the highest quality work product while providing superior client service and offering 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 helps your business address the regulatory, technical and operational aspects of all facets of asset management compliance.  We provide "roll up your sleeves" compliance assistance with in-depth reviews and knowledgeable consulting. Give us a call today to set up your first consultation.

Skyscrapers and Sky

Investment Advisors

Outsourced CCO and Deputy CCO advisors for investment advisors.

Investment Companies

Independent fund outsourced Chief Compliance Officer for Investment Companies.

Social Media Compliance

Employee social media compliance auditing and reporting.

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