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.

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.

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.