ELEVATING YOUR CONFIDENCE

We provide chief compliance officer services to registered funds, money managers, private fund sponsors, broker-dealers, and CPO/CTAs.

CCS develops, implements, and operates complete and customized compliance programs that include ongoing review, testing, management, training, and regulatory response. CCS leverages the experience of a multidisciplinary team and takes full accountability for its advice and services. Our clients retain us to provide fully outsourced chief compliance officer services or to support an in-house dual-hat executive who relies on CCS for most compliance tasks. Our suites of services are comprehensive but tailored to the client’s industry and business.


We provide money managers and other registered investment advisers with an holistic compliance services function, including a designated chief compliance officer. Most of our clients have come from large firms, where they became accustomed to top-tier compliance resources. CCS offers the same type of institutional compliance without hiring internal compliance personnel.

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Fund boards and management benefit from our legacy as a fund service provider and our extensive industry presence. CCS was started by a fund lawyer, and CCS personnel have spent their careers in the fund industry. We have serviced hundreds of registered funds over the years and continue to communicate best practices to all of our clients.

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Most of our private equity clients retain us because they want to focus on their core functions of either raising or deploying capital. We bring investment management regulatory expertise without the fixed cost of hiring internal personnel. In most cases, we assume compliance responsibility from an internal “dual-hat” executive who no longer has the time or background to perform the CCO function.

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FINRA’s ever-expanding rules have overwhelmed many broker-dealers. Our clients engage us to monitor and adapt to the dynamic regulatory requirements to avoid a firm-crippling fine or disciplinary action. Our primary goal is to implement a compliance program that can withstand a FINRA exam. We also help our clients navigate the best interest standard of care.

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