--- title: Outsourced Chief Compliance Officer Services | STP Investment Services description: Access expert outsourced Chief Compliance Officer services to streamline regulatory compliance and enhance your firm's operations without the overhead of full-time hiring. --- [![Compliance advisor logo white-1](https://info.stpis.com/hs-fs/hubfs/Compliance%20advisor%20logo%20white-1.png?width=800&height=912&name=Compliance%20advisor%20logo%20white-1.png "Compliance advisor logo white-1")](http://stpis.com) ###### OUTSOURCED CCO SERVICES # Need a Chief Compliance Officer Without the In-House Overhead? ComplianceAdvisor, a divison of STP, provides outsourced chief compliance officer services that deliver senior-level compliance leadership without the cost or complexity of hiring internally.   From oversight to strategy to day-to-day execution, we act as your outsourced chief compliance officer, ensuring your firm meets regulatory requirements and operates with confidence.   ### Approach Compliance with Confidence. Book a Meeting. ## Expert Compliance Leadership, Without the Full-Time Hire Our outsourced chief compliance officer services give your firm access to deep regulatory expertise and strategic guidance—while avoiding the expense, turnover risk, and training requirements of an in-house CCO. We integrate seamlessly into your operations, providing both leadership and execution to keep your compliance program running smoothly. ### Regulatory Filings & Registrations Timely, accurate submissions to meet SEC and state requirements. ### Policy & Procedure Development Customized documentation tailored to your firm’s risk profile. ### Annual Compliance Testing Identify gaps and address them before they become violations. ### Exam & Audit Support From prep to response, we manage the process to reduce disruption. ### Ongoing Compliance Monitoring Proactive oversight to keep your firm ahead of regulatory changes. ### Risk Assessments Detailed evaluations to prioritize and mitigate compliance vulnerabilities. ## ComplianceAdvisor: Programs Tailored to Your Firm’s Needs Our **ComplianceAdvisor** services support state- or SEC-registered investment advisors in meeting their regulatory obligations with ease and confidence. We know every firm faces unique compliance challenges, so we offer customizable solutions tailored to your specific needs—whether you’re a boutique advisory practice or a large wealth management organization.   From foundational guidance to comprehensive, hands-on management, our flexible programs ensure you get the right level of support. ComplianceAdvisor covers a full range of compliance requirements, streamlining your responsibilities so you can focus on serving clients. ### ComplianceAdvisor PRO **Foundational Compliance** This core compliance package covers essential services such as regulatory filings, the creation of a compliance manual, risk assessments, and a compliance calendar. It’s ideal for firms looking for basic compliance support without the need for extensive resources. ### ComplianceAdvisor PLUS **Strategic Compliance** Expanding beyond the essentials, the Plus program offers monthly advisory check-ins, guidance to help firms stay ahead of regulatory changes, regulatory exam support, and unlimited consulting. It’s well-suited for firms seeking more proactive compliance management. ### ComplianceAdvisor PRIME **TOTAL Compliance** The most comprehensive service, Prime offers outsourced compliance functions, including personal trade reviews and electronic communications reviews. This program also includes the option to fully outsource the Chief Compliance Officer (CCO) role, making it a complete solution for firms seeking comprehensive and hands-off compliance management. ### How Exposed Is Your Compliance Program? Get an honest, structured look at where your firm stands across the five areas regulators examine most, in under 5 minutes. [SEE WHERE I STAND](https://info.stpis.com/stp-compliance-risk-assesment?hsLang=en) ###### BENEFITS OF OUTSOURCING ## Expert Compliance Support Without the In-House Overhead [Book your meeting today](https://info.stpis.com/outsourced-chief-compliance-officer-services-ppc#form_section) #### Deputy Chief Compliance Officer Gain senior-level expertise with outsourced compliance consultants who can serve as your Deputy CCO for strategic oversight and execution. #### Ongoing Compliance Consulting Access continuous financial services compliance consulting to address evolving regulations and keep your firm audit-ready year-round. #### State or SEC Registration Navigate state and SEC registration requirements with expert guidance to ensure your investment advisory compliance program starts strong and stays compliant. #### Exams (Annual Compliance Reviews or Mock Exams) Prepare with confidence through annual compliance testing and mock exams that identify and resolve gaps before regulators do. #### Risk Assessments Proactively mitigate exposure with targeted financial compliance risk assessments tailored to your firm’s structure and operations.   #### Regulatory Filings Streamline financial compliance regulations filings to ensure timely, accurate submissions with minimal disruption to your daily operations. ### The Biggest Compliance Traps That You Don’t Even Know Are Happening at Your Firm This guide explores the latest enforcement actions, outlines potential pitfalls, and provides practical, experience-based recommendations to keep your firm compliant. [DOWNLOAD GUIDE](https://info.stpis.com/the-biggest-compliance-traps-that-you-dont-even-know-are-happening-at-your-firm?hsLang=en) ###### PERSPECTIVES ## Insights That Turn Compliance Into a Strategic Advantage ### [Brand Recognition Is Not a Service Model](https://blog.stpis.com/blog/brand-recognition-is-not-a-service-model?hsLang=en) What our conversations at Future Proof revealed about service, scale and what wealth firms should expect from their providers ### [SEC Examinations – Exhilarating or Exhausting?](https://blog.stpis.com/blog/sec-examinations-exhilarating-or-exhausting?hsLang=en) All SEC-registered investment advisers are subject to SEC examination authority and may be examined by the SEC. Are you excited about the prospect of an exam? Do you feel confident... ### [Reg S-P Deadline Has Come and Gone… What Now?](https://blog.stpis.com/blog/reg-s-p-deadline-has-come-and-gone-what-now?hsLang=en) Regulation S-P had two go-live dates: December 3, 2025, for firms over $1.5 billion and June 3, 2026, for firms under that. Whether you updated your policies and procedures (P&Ps)... ## Outsourced Compliance: A Strategic Response to Regulatory Strain Learn how firms are reducing compliance strain and improving exam readiness by outsourcing key responsibilities to expert partners. [DOWNLOAD GUIDE](https://info.stpis.com/outsourced-compliance-a-strategic-response-to-regulatory-strain?hsLang=en) ![outsourced compliance STP cover image](https://info.stpis.com/hs-fs/hubfs/outsourced%20compliance%20STP%20cover%20image.png?width=1545&height=2000&name=outsourced%20compliance%20STP%20cover%20image.png) ## What Could Your Firm Achieve With an Outsourced Chief Compliance Officer? [get started with stp](https://info.stpis.com/outsourced-chief-compliance-officer-services-ppc#form_section) Copyright © 2026 STP Investment Services. All Rights Reserved. 44 W. Gay Street Suite 300 West Chester, PA 19380 [+1.610.363.5684](tel:+1.610.363.5684)