OUTSOURCED CCO SERVICES
Need a Chief Compliance Officer Without the In-House Overhead?
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
Policy & Procedure Development
Annual Compliance Testing
Exam & Audit
Support
Ongoing Compliance Monitoring
Risk
Assessments
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.
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.
BENEFITS OF OUTSOURCING
Expert Compliance Support Without the In-House Overhead
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.
PERSPECTIVES
Insights That Turn Compliance Into a Strategic Advantage
For state-registered investment advisers, compliance is rarely straightforward. Even if you operate in just one state, staying on top of that state’s rules can be challenging.
Artificial Intelligence (AI) is no longer a distant frontier—it is reshaping financial services today. From algorithmic trading and client communications to compliance monitoring and portfolio construction, advisers are embracing AI...
In today’s ever-changing financial services landscape, more advisers are breaking away from larger firms to launch their own Registered Investment Adviser (RIA) practice.
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.
