Compliance Consulting Services
Expert compliance guidance paired with powerful technology. Choose the level of support your firm needs.
Most firms pay $4,000–$6,000/month for outsourced compliance support. Our retainers sit in that range but include full platform access and direct CCO-level guidance.
Essential Compliance Partner
Best for small RIAs and solo advisors who need reliable compliance support.
What's included
- 5 hours/month compliance consulting
- Ongoing compliance guidance and support
- Policy and procedure review and feedback
- Compliance calendar oversight
- Day-to-day compliance questions answered
- Firms up to $250M AUM / 5 users
- Email and platform support
- 48-hour response time
- Overage rate: $275/hour
- 3-month minimum commitment
- No onboarding fee
Dedicated Compliance Partner
Best for growing RIAs without a full-time CCO.
What's included
- 15 hours/month compliance consulting
- Ongoing compliance program management
- Marketing and compliance reviews included
- Regulatory guidance aligned with SEC expectations
- Policy maintenance and updates
- Audit preparation and readiness support
- 1 scheduled call per week
- Firms up to $1B AUM / 25 users
- Email, phone, and platform support
- 24-hour response time
- Overage rate: $275/hour
- 3-month minimum commitment
- No onboarding fee
Fully Outsourced CCO
Best for firms looking to outsource day-to-day compliance operations.
What's included
- 25 hours/month compliance consulting
- Comprehensive compliance program administration and support
- Policy and procedure maintenance, review, and testing coordination
- Exam prep and regulator interaction support
- Ongoing regulatory monitoring and updates
- Dedicated compliance consultant
- Weekly standing call
- Firms up to $3B AUM / unlimited users
- Priority same-day response
- Overage rate: $275/hour
- 3-month minimum commitment
- Onboarding fee: $2,500 (waived for annual commitments)
- Above $3B AUM — custom pricing
Details
Additional Information
Important details about our consulting engagements.
Onboarding Fee
Essential and Dedicated: no onboarding fee. Fully Outsourced CCO: $2,500 one-time (waived for annual commitments).
Minimum Engagement
3-month minimum
Exam Surge Support
SEC/state exam support beyond monthly hours billed at $275/hour
Scope Exclusions
Legal representation, litigation support, and SEC deficiency response drafting available as separate project engagements. Compliance Approved provides consulting and administrative support — the firm's principals retain ultimate regulatory responsibility for their compliance program.
Project Work
Project-Based Engagements
One-time compliance projects, invoiced on completion.
Ready to get started?
Book a consultation with our team to find the right level of compliance support for your firm.