The Outsourced Compliance Department gives growth-stage RIAs the depth of a full in-house compliance program — without building one. A dedicated compliance manager, experienced analysts, and securities attorney oversight, all working alongside your existing leadership.
Manager, Analysts & Attorney Oversight
ComplianceNerdOS Platform Included
Built for RIAs with $350M–$5B AUM
Flexible CCO Designation Options
When a firm crosses $500M in assets, the compliance function changes. The regulatory obligations multiply. The documentation requirements expand. The risk exposure grows. And the CCO — or whoever has been handling compliance can no longer absorb it all.
Firms at this stage often have one of three situations: an overwhelmed CCO handling compliance alongside other responsibilities; a patchwork of consultants and vendors without a single point of accountability; or a principal still managing compliance that the firm has grown well past.
The Outsourced Compliance Department was built for this moment. It gives your firm a full compliance team. Structured, coordinated, and attorney-backed, without the overhead of hiring multiple employees.
Your CCO maintains strategic oversight. We handle the infrastructure, the day-to-day execution, and the regulatory complexity that comes with scale.
If this sounds like your situation, OCD is the perfect fit.
The Outsourced Compliance Department is a structured program — not a consulting arrangement. You are assigned a dedicated compliance manager and a team of analysts who run your compliance program day-to-day, with securities attorney oversight on every significant decision.
Attorney + Manager + 2 Analysts + Software = Complete Department
Legal oversight
Your primary contact
Day-to-day execution
ComplianceNerdOS
Everything you need for comprehensive compliance management—no hourly billing, no hidden fees, no surprises. One monthly subscription includes your entire compliance department.
Included Support: Advertising review, cybersecurity guidance, IMA/ERISA agreement reviews, phone support during SEC exams, unlimited compliance consultations, and real-time troubleshooting.
OCD is designed for registered investment advisers managing $350M to $5B in assets — firms that have moved past startup complexity and into the compliance governance that institutional scale requires.
Your CCO maintains leadership. OCD provides the team infrastructure, execution, and depth they need.
RIAs with 3–15 advisors, multi-state registration, branch offices, and layered supervision requirements.
Adding advisors, expanding to new states, or approaching M&A — compliance governance needs to keep pace.
One team, one platform, one point of accountability — replacing multiple fragmented vendors or consultants.
If your firm’s compliance program currently relies on a single person working without team support — or on a collection of vendors without a unified structure — OCD provides the governance depth to match your firm’s scale.
Both services give you a complete compliance team. The main difference is how the CCO role is designated and who serves as the primary regulatory contact.
Compliance Team
Attorney + Manager + 2 analysts
Attorney + Manager + 2 analysts
Attorney Oversight
Yes
Yes
CCO Designation
We support your existing CCO
We are designated CCO (named on Form ADV)
Primary Regulatory Contact
Shared (you choose)
Us exclusively
On-Site Exam Support
Phone guidance
Full on-site presence
Legal Services Included
IMA & ERISA reviews
IMA, ERISA, IAR, employment
Monthly Legal Hours
Not included
5 hours/month
Annual On-Site Visits
Not included
2 visits/year
Best For
Comprehensive support with flexibility
Complete CCO replacement
See how OCD compares to hiring your own compliance department
Annual Cost
$80K–$120K manager
+ $50K–$70K analyst #1
+ $50K–$70K analyst #2
+ $54K–$78K benefits
+ $15K–$30K software
= $274K–$413K total
Fraction of in-house cost
Software included
All-in monthly subscription
Team Size
3 people you hire & manage
Attorney + Manager + 2 analysts
Legal Backing
Not attorneys (usually)
Securities attorneys with legal defense
Turnover Risk
High (recruiting, training, replacement)
Minimal (we take care of the hassle)
Software
Additional $15K–$30K annually
ComplianceNerdOS included
Management Overhead
You manage 3 employees
We manage everything
Scalability
Hire more people as you grow
Service scales automatically
CCO Designation
Must designate internally
Flexible (support yours or we can be named)
Most outsourced compliance programs are run by consultants. Ours is run by a law firm that works exclusively with RIAs and broker-dealers. That distinction matters in how your program is built, how decisions are made, and how your firm is positioned when regulators arrive.
Every member of your OCD team — manager, analysts, and attorneys — works exclusively with registered investment advisers and broker-dealers. There is no learning curve. We understand your business model, your regulatory obligations, and the governance complexity that comes with growth.
ComplianceNerdOS is our proprietary compliance management platform, included with OCD at no additional cost. It handles the workflow, the calendaring, the documentation, and the audit trail. Your team and your technology operate as one coordinated system.
OCD is built for advisory firms navigating the compliance complexity that comes with $350M to $2B in assets: multi-state registration, layered IAR supervision, M&A activity, and the governance expectations of institutional clients.
“Your CCO maintains leadership. We build and run the infrastructure behind them. No hiring. No turnover. No coverage gaps. A full compliance team that scales with your firm.“
OCD is ideal for firms with an existing CCO who needs team support.
How it works:
Result: Your CCO is no longer overwhelmed, and your compliance program is professionally managed without losing internal leadership.
Absolutely! Many clients start with OCD and upgrade to OCCO (OCD+) as their firm grows or their needs change.
The transition is seamless:
We designed our services to scale with you.
Standard implementation: 30–45 days
What happens during implementation:
Rush implementation: Available for urgent situations
Major differences:
Traditional Consultants:
My RIA Lawyer OCD:
Bottom line: We’re not consultants who advise—we’re your compliance department who executes.
Stop cobbling together compliance with multiple vendors, overwhelmed staff, or DIY approaches that don’t scale. My RIA Lawyer’s Outsourced Compliance Department gives you a complete compliance team.