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.
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.