Outsourced Chief Compliance Officer and SEC Marketing Rule Compliance Services

A logical choice for Registered Investment Advisors.

NEW! SEC MARKETING MATERIAL REVIEW SERVICES

REDUCE RIA STARTUP EXPENSES

Launch your RIA with the experience and qualifications of licensed personnel.

There are many considerations when it comes to establishing an RIA such as client management systems, back office paperwork, marketing materials, operations and compliance oversight. While there are many FINRA licenses that RIAs are not required to be held internally, many in-house CCO positions still require the payment high salaries for compliance oversight responsibilities. RIA | CCO provides outsourced personnel at a fraction of the cost of an in-house CCO with the experience and credentials of a General Securities Principal.

RIA-CCO provides an efficient, cost effective method for staying on top of regulatory compliance oversight.

Learn how outsourcing CCO services to a licensed compliance officer can save your firm money, time and headaches with our documentation platform.

COMPLIANCE OVERSIGHT YOU CAN TRUST

Our firm is led by Sonja Wall who currently holds FINRA Series 24, 4, 53, 66 & 7 licenses. Sonja has 20+ years of experience serving in the financial services industry, specializing in compliance oversight documentation services.

Outsourcing vs. In-House

Compliance Oversight | Consulting | SEC Filings | Audits

Registered Investment Advisors have a responsibility to keep advisors, employees and back-office operations in compliance with regulatory oversight. Most commonly; RIA firms hire a Chief Compliance Officer to oversee filing requirements, take disciplinary action when needed and handle audits to protect the firm and most importantly its clients. Learn how outsourcing these services can help new firms save on overhead expenses while leveraging the experience and professionalism of a licensed CCO.