RIA Compliance University
Build a Defensible Compliance Program. One Course at a Time.
Most RIA compliance resources give you templates without context, or training without implementation. Compliance University does both — structured instruction, practical homework, and a growing library of 24+ courses that keeps pace with a changing regulatory environment.
- 60+ Months of Structured Curriculum
- Template & SOP Library
- Expert-Led Instruction & Guidance
- New Courses Added as Regulations Evolve
Compliance Training Built for How RIAs Actually Operate.
Most RIA compliance resources fall into one of two categories: generic templates that require significant customization to be useful, or expensive consultant-led engagements that don’t transfer knowledge to your team. Neither builds lasting compliance infrastructure.
RIA Compliance University is designed differently. It’s a structured, self-paced curriculum that walks your team through every core area of RIA compliance — one course at a time — with the instruction, templates, and implementation guides to actually put what you learn into practice.
The curriculum covers 60+ months of content and continues to grow as regulations evolve. Start with the first 12 months of foundational courses, then continue into advanced topics, regulatory updates, and specialized areas. Your compliance program develops alongside your enrollment.
Who this program is designed for:
- CCOs and compliance staff at registered investment advisers
- RIAs building a compliance program from initial registration
- Firms updating aging compliance infrastructure before an exam cycle
- New compliance hires who need structured onboarding to RIA regulation
What's Included in Compliance University
Every enrollment includes full access to all four components of the program.
Video Instruction & Guidance
On-demand video tutorials covering each compliance topic in depth. Watch at your own pace, pause, revisit. Designed for working compliance professionals.
Complete Template Library
Compliance manual, cybersecurity incident response plan, AML program template, testing forms, SOPs, and more. Built for RIAs and ready to customize.
Structured Implementation
Each monthly course includes practical homework that has you building or updating your actual compliance program, not just learning concepts.
Compliance Nerd Access
Access to a peer community forum and quarterly live sessions with compliance professionals. Ask questions, share approaches, stay current on regulatory changes.
Compliance University
Course Curriculum
Each course includes video instruction, a PowerPoint overview, downloadable templates, and practical homework tied to your compliance program. Designed for one course per month — but you control the pace. The curriculum currently covers 24+ months of content and continues to grow.
Here’s what you can expect to cover in the first 12 months:
Month 1
Introduction to RIA Compliance
Master the compliance framework fundamentals and complete your compliance inventory workbook.
Month 2
Form ADV & Disclosure Requirements
Learn to properly prepare, file, and maintain your Form ADV Parts 1A and 2A.
Month 3
Code of Ethics & Insider Trading
Draft your firm’s Code of Ethics using provided templates and establish your personal trading policy.
Month 4
Books and Records Requirements
Understand retention requirements, identify gaps, and perform your own recordkeeping risk assessment.
Month 5
Policies & Procedures Development
Build your complete compliance manual using the provided SEC compliance manual template.
Month 6
Anti-Money Laundering Program
Create your AML program from the ground up using our comprehensive template.
Month 7
Cybersecurity & Privacy
Develop your cybersecurity incident response plan and privacy policy using provided templates.
Month 8
Custody Rule Compliance
Work through the custody rule requirements and conduct a compliance checklist review for your firm.
Month 9
Advertising & Marketing Rule
Understand the Marketing Rule requirements and perform a compliance review with provided templates.
Month 10
Fiduciary Duty & Best Interests
Understand your fiduciary obligations, Reg BI applicability, and client suitability framework.
Month 11
Conflicts of Interest & Gifts
Identify conflicts in your business model and establish a documented gifts and entertainment policy.
Month 12
Annual Compliance Review
Prepare for your annual compliance review with exam prep documentation and a systematic review process.
The curriculum continues beyond the foundational 12 courses.
60+ months of content are currently available — covering advanced topics, specialized compliance areas, and regulatory updates. New courses are added as regulations evolve. Download the full syllabus for the complete list.
What Advisers Are Saying
I had a new team member start, and I didn't have time to train her properly. I enrolled us both in RIA Compliance University, which provided structured training for her while serving as an excellent refresher for me. The templates alone saved us countless hours.
— CCO, $4.5B AUM RIA
The expert sessions keep us ahead of regulatory changes. Having access to the compliance forum means I can get real answers from professionals who stay on top of regulation.
— Partner & CCO, $150M AUM RIA
Program Overview
The first 12-months of RIA Compliance University are available for $15,000. Or you can train alongside with our Compliance Nerds and join in on live sessions for $1,500 per month. Your subscription gives you access to the full curriculum — 24+ courses currently available — plus all templates, resources, and community access. New courses are added regularly, so your enrollment keeps pace with the regulatory environment.
$1,500/month
Additional user: $500/month · Billed monthly
On-demand video tutorials covering each compliance topic in depth. Watch at your own pace, pause, revisit. Designed for working compliance professionals.
- Monthly live sessions with compliance counsel
- Access to full curriculum, month by month
- Complete template library — compliance manual, cybersecurity, AML, SOPs, testing forms
- Practical homework with each course
- Community forum access
$15,000/year
One-time annual payment · Full Year 1 access immediately
Compliance manual, cybersecurity incident response plan, AML program template, testing forms, SOPs, and more. Built for RIAs and ready to customize.
- Immediate access to all 12 Year 1 courses
- Complete template library — compliance manual, cybersecurity, AML, SOPs, testing forms
- Practical homework with each course
- Community forum access
- Work at your own pace, on your own schedule
After Year 1, there's a full second year waiting.
Year 2 picks up where the foundational curriculum leaves off — with another complete set of courses, SOPs, testing forms, and resources covering advanced compliance topics and specialized areas. Equally comprehensive, equally practical. Year 2 enrollment is available as a separate annual purchase when you’re ready.
For context on value:
What you'd pay separately
Typical Cost
Compliance manual template (purchased separately)
$10,000–$15,000+
Individual SOPs and testing forms
$3,000–$6,000
Consultant-led compliance training
$200–$500/hour
Cybersecurity and AML template packages
$2,000–$5,000
Discounted multi-user pricing is available for firms enrolling more than one team member. Contact us for details.
Frequently Asked Questions
No. The curriculum is designed for roughly one course per month, but you move at your own pace. If you need to work through the material faster — ahead of an exam, for example — you can accelerate. If your schedule is heavier, take more time. There’s no set deadline.
The curriculum currently covers 24+ months of courses — and continues to grow as new regulatory topics emerge. You won’t run out of material, and your subscription gives you access to new courses as they’re added.
Yes. Multi-user enrollment is available at discounted pricing. It’s an efficient way to ensure your entire compliance team — or a new hire — is working from the same structured foundation. Contact us to discuss your situation.
Templates without instruction are only as useful as your ability to implement them correctly. The program gives you the instruction, context, and implementation guidance to use the templates properly — and the forum support to ask questions when your situation is more complex than the template anticipated.
Build Your Compliance Program the Right Way.
RIA Compliance University gives your team the structure, instruction, and tools to build a compliance program that holds up — and keeps it current as the regulatory environment changes.
Start with the foundational curriculum and continue into 60+ months of content at your own pace. Download the full course syllabus to see everything that’s available before you enroll.