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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.


Our independent Adviser CCO Service 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 designing and testing your compliance program to preparing your Annual Review.

  • 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 Deputy 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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