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Outsourced Compliance for Registered Investment Advisers (RIAs)

Discover streamlined, professional compliance solutions with Compliance4, offering tailored services for Registered Investment Advisers (RIAs).

Independent Chief Compliance Officer (CCO) Services for RIAs

At Compliance4, we offer a bespoke Independent CCO Service tailored for investment advisers.


 An independent CCO gives you:

  • An Experienced Securities Lawyer and Compliance Professional: Our seasoned experts to serve as your Independent Chief Compliance Officer, ensuring adherence to Rule 206(4)-7 and federal securities laws.

  • Comprehensive Compliance Support: Our services range from preparing your Annual Review to designing and testing your compliance program.

  • Regular Reporting and Oversight: We offer quarterly reports to the CCO or management, along with diligent oversight of third-party service providers and sub-advisers.

  • Best Practice Recommendations: We recommend and helps implement best practices in written policies and procedures.

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Deputy CCO Services for In-House Compliance Support

Our Deputy CCO Service is designed for advisers who retain an in-house CCO but require additional compliance support.


With a deputy CCO, you get:

  • Hands-On Compliance Assistance: We work closely with your in-house CCO, offering guidance on compliance with the Investment Advisers Act of 1940 and related regulations.

  • An Experienced Compliance Professional: Our CCO is competent and knowledgeable, assisting in monitoring and testing compliance functions.

  • Collaborative Approach: We provide support under the direction of your in-house CCO, ensuring seamless integration with your team.

Compliance and Operational Due Diligence Services

For RIAs planning to acquire other RIAs, we offer tailored Due Diligence Services:

  • Customized Due Diligence Reviews: We conduct in-depth reviews based on the specific needs of the acquiring RIA.

  • Collaborative Understanding: Our team works closely with your business team and CCO to understand all compliance and regulatory concerns.

  • Detailed Reporting: We deliver timely and comprehensive due Diligence reports based on your objectives and requirements.

  • Gap Analysis and Recommendations: Our service identifies weaknesses in compliance programs or operations, offering practical recommendations and assistance in implementing changes or mitigating gaps.

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Request a Consultation with Our CCO

Discover streamlined, professional compliance solutions and tailored services for Registered Investment Advisers (RIAs) when you have a consultation with one of our Chief Compliance Officers.

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