Who we are

Who we are.

Cipperman Compliance Services provides chief compliance officer services to money managers, registered funds, family offices, private equity firms, broker-dealers, and regulated fintech companies. Our compliance professionals have significant industry experience with a wide variety of industry backgrounds. Our team includes lawyers, non-lawyers, internal and external auditors, operations professionals, product specialists, client service specialists, and of course former in-house chief compliance officers. We believe that this diversity allows us to answer nearly any question a client can ask.

Powering your growth.

We focus exclusively on providing compliance services solely to the investment management industry. We stick to what we know, which is delivering best-in-class compliance programs to emerging firms. We will never cross-sell high-profit ancillary services or products.

Members of our team serve as chief compliance officers for approximately two-thirds of our clients. For the remainder, we provide holistic support services comparable to the type of services provided in which we serve as CCO. In most cases, we either take over for a departing CCO or assume the CCO role from a dual-hat executive who needs to focus on his/her core responsibilities.

Our clients hire us because they have made the business decision that a professional compliance services firm can do a better job than hiring one employee. Our clients include first-time fund managers that need a solution for the fund and/or the adviser, emerging managers that do not wish to devote disproportionate resources to compliance, fintech companies that do not have expertise in asset management, private equity firms more focused on fund-raising or portfolio company management, and large financial services conglomerates in which asset management may only be a small part of their larger business. Most of our clients have between $200 million and $10 billion in assets under management.

We remain fiercely independent to ensure that we do not get distracted from focusing on the quality of our compliance programs. Since our founding, we have focused on becoming the best compliance firm in the industry. We define “best” as our reputation among our clients, the regulators and industry players who recommend us. We believe that if we deliver excellent compliance, our constituents will raise our reputation and ensure the ultimate success of our business. This philosophy has served us well for over 15 years.

Our independence has other advantages. We don’t have to answer to a corporate parent or a private equity board. We can make rapid decisions solely in the best interest of our clients. Additionally, we can construct pricing structures more suited to the growth trajectory of our entrepreneurial clients. It also gives us a personal connection to every client.

Our mission.

  • Fundamentally, our mission is to protect our clients from regulatory risk by implementing a best-in-class compliance program. By taking ownership of the compliance program through our CCO outsourcing service, we shoulder the burden of worrying about compliance so that our clients can focus on growing their businesses.
  • We help our clients leverage limited resources. Most of our clients don’t have excess personnel that they can allocate to non-core functions. Our CCO model frees senior personnel to raise assets and grow the business without having to make a huge expenditure on a full-time compliance employee.
  • We also help emerging and growing firms attract institutional assets by expertly responding to requests from institutional prospects and boards.
  • The final element of our mission is to prepare each of our clients for the inevitable SEC exam. Our goal is to demonstrate to the regulator that we have taken compliance seriously, implemented the necessary policies and procedures, and stress test those procedures every year. We also want to show robust ongoing monitoring.
  • We believe that we are retained to protect your franchise and your assets. It can take years to build significant assets under management and the reputation to attract those assets. One negative regulatory event can undermine years of effort. Our job is to avoid any preventable loss resulting from negative regulatory events.

Our core values.