Operating as a broker-dealer or registered investment adviser can be difficult. An outsourced chief compliance officer (CCO) can provide your firm with ongoing compliance support without the overhead of a full-time staff member. Outsourced CCO services allow you to access experienced securities compliance professionals.
Ryan P. Smith Law, PLC offers outsourced chief compliance officer services to broker-dealers and registered investment advisors across the United States. As a current CCO, Ryan understands the importance of designing and administering practical and effective compliance systems.
Get a clear, practical read on your firm's compliance posture — no jargon, no Wall Street price tag.
Ryan P. Smith Law, PLC works with broker-dealers, registered investment advisers, and financial professionals across the country. His experience includes serving as a FINRA attorney, securities compliance counsel, and licensed Series 24 General Securities Principal. Ryan partners with firms needing direct compliance assistance, even if their business volume doesn’t warrant a full-time CCO.
Ryan helps firms by providing them with ongoing compliance support, regulatory guidance, and program reviews. By maintaining an active license and providing counsel to securities firms on a daily basis, Smith can provide insight that is practical and applicable to your firm.
Broker-dealers and registered investment advisers often operate with small staffs. In many cases, the business owner or senior adviser is responsible for both the day-to-day business operations and compliance requirements. While this model can work for small firms, regulatory requirements can become more challenging as your business grows.
An outsourced compliance officer can allow your firm to have access to experienced compliance leadership. This can be a cost-effective alternative to hiring a full-time employee, complete with benefits and a dedicated office space.
The Firm’s outsourced chief compliance officers service includes:
Outsourced chief compliance officer services can be a flexible and affordable way to maintain access to securities compliance experience. Many compliance issues are not apparent until a firm grows or takes on new activities. As your business grows, your compliance duties naturally shift too.
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Firms have many questions about cost when it comes to hiring an outsourced chief compliance officer.
At Ryan P. Smith Law, PLC, we provide outsourced CCO services to broker-dealers and registered investment advisers across the country. Contact the Firm today to discuss your specific compliance concerns and find out if an outsourced Chief Compliance Officer is right for your firm.
Get straightforward guidance from a CCO for CCOs — schedule your free consultation today.
A: No. In general, securities regulators do not restrict firms from outsourcing various compliance functions.
Responsibilities don’t end for broker-dealers and RIAs when policies are drafted and annual reviews are finished. Outsourced CCO support from Ryan P. Smith Law, PLC can help your firm manage everyday compliance issues. Contact the Firm today to find out if an independent compliance partnership is a good fit for your business.
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