Virtual Compliance Department
Getting compliance done, and done right, is right here.
Are you looking for a particular comprehensive solution?
You need look no further. Our Virtual Compliance Department fits any firm of any size and in any place.
Are you wanting to start a new RIA?
It doesn't matter if you don't know where to start. We do know.
Discover Our RIA Compliance Services
Virtual Compliance Department
Do you want someone else to manage your investment advisor's compliance program?
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Chief Compliance Officer Services
Don't want to be the CCO of your firm?
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RIA Compliance At Its Finest
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Just like any professional service, fees are based upon several variables including the number of investment adviser representatives, the RIA's registration (state vs. SEC), types of advisory services offered, etc.
There are a number of RIA compliance software solutions in the marketplace. Some specialize in trading review, email review, but some software solutions are geared toward data analysis and risk management, keeping track of what is what in the firm, and so forth.
You should hire an outsourced CCO if you don't want an internal employee or manager to be CCO. The requirements for being a CCO are the same whether you hire a third-party compliance firm or hire an employee. The advantage that an outsourced CCO brings is a wider breadth of experience resulting from working with a number of different firms.