Outsourced Chief Compliance Officer Services for RIAs

An outsourced Chief Compliance Officer provides senior compliance leadership without requiring a full-time internal hire. Support may include reviewing and strengthening compliance programs, developing policies and procedures, assessing risks, improving documentation, guiding control testing, supporting audits, and helping decision makers translate regulatory obligations into practical operating processes.

Outsourcing can give an RIA access to experienced compliance leadership while keeping the engagement scalable. It can be useful for firms that need stronger governance, additional implementation capacity, or experienced guidance before committing to a permanent executive hire. SolvedAF combines fractional leadership with subject-matter support to help firms address priorities in a structured way.

Yes. SolvedAF’s advisory work can support compliance program assessment, policy and procedure development, control design, documentation, testing, and continuous improvement. The approach focuses on practical implementation and organizational buy-in, helping an RIA create processes that are understandable, defensible, and aligned with its operating model rather than relying only on theoretical recommendations.

SolvedAF provides cyber, privacy, operational, and compliance risk assessment support. The work can identify vulnerabilities, evaluate governance and privacy controls, consider alignment with frameworks such as NIST, PIPEDA, and GDPR where relevant, and produce actionable remediation roadmaps. Recommendations are designed to help leadership prioritize improvements and prepare for customer, investor, or audit scrutiny.

Yes. SolvedAF supports audit planning and scoping, process documentation, internal control walkthroughs, control testing, evidence guidance, report preparation, and stakeholder management. Its broader assurance and internal audit advisory capabilities can help an RIA improve audit readiness and develop a more consistent control environment while maintaining continuity between assessment, remediation, and ongoing improvement.

SolvedAF provides readiness and certification support for SOC, ISO, and HIPAA initiatives. Services include gap assessments, control design and implementation guidance, policy and documentation development, audit preparation, evidence and testing guidance, and coordination with third-party auditors. The exact scope depends on the organization’s existing controls, objectives, and readiness priorities.

SolvedAF uses a fractional and hybrid delivery model that combines executive oversight with onshore and offshore subject-matter support where appropriate. Engagements are tailored to the organization’s needs and can connect strategic planning with implementation, documentation, testing, and ongoing support. Scope and team composition are determined according to the client’s objectives and operating requirements.

Service pricing depends on scope, leadership needs, implementation requirements, and the support model selected. The service catalog lists fractional CFO/Risk & Compliance Officer leadership at $3,000–$5,000 per month, while specific initiatives may be scoped separately. SolvedAF can discuss the required responsibilities, priorities, and delivery structure before defining an engagement.