Outsourced Chief Compliance Officer Services for RIAs
Outsourced Chief Compliance Officer Services for RIAs
When compliance teams are stretched thin, firms face heightened risk—we provide the dedicated oversight your future requires. Discover how outsourced Chief Compliance Officer services from AdvisorLaw can better protect your firm, your staff, and your clients.
When compliance teams are stretched thin, firms face heightened risk—we provide the dedicated oversight your future requires. Discover how outsourced Chief Compliance Officer services from AdvisorLaw can better protect your firm, your staff, and your clients.
Outsourcing An RIA Chief Compliance Officer (CCO)
Outsourcing An RIA Chief Compliance Officer (CCO)
Expertise, Platform,
& Peace of Mind
Tailored Compliance Tiers:
OCCO Lite & Full OCCO
Expertise, Platform,
& Peace of Mind
Rather than incurring the $150,000+ annual cost of hiring a dedicated in-house Chief Compliance Officer (CCO), many small, high-performing RIAs are wisely choosing AdvisorLaw's Outsourced CCO (OCCO) model. An outsourced compliance officer model brings experienced and knowledgeable specialists onto your team to capably address complex regulatory and operational challenges.
This cost-effective solution provides a dedicated senior compliance analyst who becomes an integral part of your team, all for a flat monthly fee that qualifies as a professional services tax deduction. Outsourced CCO services prioritize consistent compliance for your firm while offering additional benefits in terms of budgeting and cost.
Rather than incurring the $150,000+ annual cost of hiring a dedicated in-house Chief Compliance Officer (CCO), many small, high-performing RIAs are wisely choosing AdvisorLaw's Outsourced CCO (OCCO) model. An outsourced compliance officer model brings experienced and knowledgeable specialists onto your team to capably address complex regulatory and operational challenges.
This cost-effective solution provides a dedicated senior compliance analyst who becomes an integral part of your team, all for a flat monthly fee that qualifies as a professional services tax deduction. Outsourced CCO services prioritize consistent compliance for your firm while offering additional benefits in terms of budgeting and cost.
As experts in SEC and state-registered RIA compliance, AdvisorLaw offers comprehensive, customizable services that range from basic programs to our most extensive solution. Our compliance solutions, OCCO Lite and OCCO, provide a seamless path for growth and regulatory peace of mind, underpinned by 20+ years of expertise and the backing of our senior attorneys. Both tiers include access to the Nexus Enterprise Platform, a single interface for managing all your compliance workflows and documents, and both reflect our commitment to Seamless Integration, Proactive Risk Mitigation, Strategic Partnership, and Tailored Support.
|
Service Tier |
Dedicated Support |
Legal Time Included |
CCO Listing on Form ADV |
Compliance Approval |
|
OCCO Lite |
Compliance Analyst (CCO Designee) |
5+ hours/month |
No |
Internal Review |
|
OCCO (Premium) |
Senior Compliance Analyst |
10+ hours/month |
Yes (Official CCO) |
Full Approval |
With our RIA division overseeing over $70 billion in collective AUM, we take the regulatory headache out of compliance so you can be more flexible, more focused on business growth, and experience the peace of mind that comes with reliable, expert support. Outsourced compliance for RIAs addresses regulatory needs, budgeting, costs, and business development in equal measure.
What Our Clients Say
What Our Clients Say
What Our
Clients Say
What Our
Clients Say
"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"
- Bruce Kriens⭐⭐⭐⭐⭐
"AdvisorLaw has been diligent in helping us through our compliance. They have a good process and they follow up regularly. Our entire team is very much in tune with the compliance requirements. I recommend them highly to fellow RIAs."
- Raj Rajendran ⭐⭐⭐⭐⭐
"Have worked in detail with the team of Erika and Wren to create and file ADVs. Doc Kennedy has supported along the way on legal issues. Great firm to work with, would highly recommend them for any advisor drafting documents or needing ongoing compliance support."
- Shane Farina ⭐⭐⭐⭐⭐
"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"
- Brad Tiche⭐⭐⭐⭐⭐
"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."
- John Brewer⭐⭐⭐⭐⭐
"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"
- Travis Jeffrey⭐⭐⭐⭐⭐
"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"
- Lisa Murray⭐⭐⭐⭐⭐
"The team at Advisor Law is great!"
- Kevin Pentz⭐⭐⭐⭐⭐
What Our Clients Say
What Our
Clients Say
What Our
Clients Say
"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"
- Bruce Kriens⭐⭐⭐⭐⭐
"AdvisorLaw has been diligent in helping us through our compliance. They have a good process and they follow up regularly. Our entire team is very much in tune with the compliance requirements. I recommend them highly to fellow RIAs."
- Raj Rajendran ⭐⭐⭐⭐⭐
"Have worked in detail with the team of Erika and Wren to create and file ADVs. Doc Kennedy has supported along the way on legal issues. Great firm to work with, would highly recommend them for any advisor drafting documents or needing ongoing compliance support."
- Shane Farina ⭐⭐⭐⭐⭐
"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"
- Brad Tiche⭐⭐⭐⭐⭐
"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."
- John Brewer⭐⭐⭐⭐⭐
"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"
- Travis Jeffrey⭐⭐⭐⭐⭐
"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"
- Lisa Murray⭐⭐⭐⭐⭐
"The team at Advisor Law is great!"
- Kevin Pentz⭐⭐⭐⭐⭐
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Amy Luna
Account Development
Representative
Jamie Nicolas
Compliance Coordinator
Ainsley Norman
Nexus Specialist
Chris Sheppard
Compliance Analyst
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Amy Luna
Account
Development
Representative
Jamie Nicolas
Compliance Coordinator
Ainsley Norman
Nexus Specialist
Chris Sheppard
Compliance Analyst
Compliance Management &
Strategic Benefits
Compliance Management
& Strategic Benefits
Compliance Management
& Strategic Benefits
AdvisorLaw offers tailored ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Whether you need fundamental support or extensive compliance management, we tailor our services to your firm's unique demands. Enhance your operations with AdvisorLaw's Nexus Enterprise Platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
AdvisorLaw offers tailored ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Whether you need fundamental support or extensive compliance management, we tailor our services to your firm's unique demands. Enhance your operations with AdvisorLaw's Nexus Enterprise Platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
Stop letting compliance take you away from your clients. Our OCCO service means your firm offloads significant compliance work, including complex needs like filings, reviews, training, and regulatory exams. By outsourcing, you save on the significant payroll and benefits cost of an in-house employee and alleviate risk, allowing you to dedicate your efforts to building client relationships and managing wealth.
Our services cover a complete spectrum of your regulatory needs, encompassing:
- Risk Mitigation & Monitoring: Regular monitoring and testing of internal procedures, identifying, mitigating, and creating a plan to minimize future risk of violations.
- Filing & Reporting: Managing SEC and regulatory exams, filing disclosures, Form ADV adherence, and responding to custodial inquiries.
- Training & Oversight: Compliance training for IARs and firm employees, annual attestations, and vendor oversight/due diligence.
- Strategic Support (Premium Benefit): Collaboration with firm leadership for strategic planning, annual practice valuation, and access to our buyer network (available in premium tiers).
If you are struggling to balance growing your business with the constant demands of ever-changing regulations, it's time to outsource your compliance to AdvisorLaw.
AdvisorLaw offers tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Stop letting compliance take you away from your clients. Our OCCO service means your firm offloads significant compliance work, including complex needs like filings, reviews, training, and regulatory exams. By outsourcing, you save on the significant payroll and benefits cost of an in-house employee and alleviate risk, allowing you to dedicate your efforts to building client relationships and managing wealth.
Our services cover a complete spectrum of your regulatory needs, encompassing:
- Risk Mitigation & Monitoring: Regular monitoring and testing of internal procedures, identifying, mitigating, and creating a plan to minimize future risk of violations.
- Filing & Reporting: Managing SEC and regulatory exams, filing disclosures, Form ADV adherence, and responding to custodial inquiries.
- Training & Oversight: Compliance training for IARs and firm employees, annual attestations, and vendor oversight/due diligence.
- Strategic Support (Premium Benefit): Collaboration with firm leadership for strategic planning, annual practice valuation, and access to our buyer network (available in premium tiers).
If you are struggling to balance growing your business with the constant demands of ever-changing regulations, it's time to outsource your compliance to AdvisorLaw.
Enhance your operations with AdvisorLaw's Nexus enterprise platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
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Frequently Asked Questions
Frequently Asked Questions
Frequently Asked Questions
Hiring a dedicated in-house Chief Compliance Officer can cost upwards of $150,000 annually, plus benefits and overhead. AdvisorLaw’s Outsourced CCO (OCCO) model provides the same high-level oversight and seniority for a predictable, flat monthly fee that is also a tax-deductible professional service. Beyond cost savings, you gain the collective intelligence of our entire team of attorneys and specialists—providing a breadth of expertise that a single employee simply cannot match.
Unlike an in-house hire who may require months of onboarding, our specialists are trained to acclimate quickly. Because we leverage standardized, high-efficiency processes and the Nexus platform, we can establish effective stewardship of your compliance program almost immediately. We integrate as a seamless extension of your team, providing proactive strategies to minimize risk without the typical "learning curve" delay.
Request a Private Consultation
Request a Private Consultation
Request a Private Consultation