DFP Partners can provide a qualified FINRA Series 24 registered principal to act as your firm’s designated Chief Compliance Officer (CCO).
Our team can work on a retainer basis, acting as your designated CCO to administer your compliance program. As your outsourced CCO, we can develop a customized compliance program, lead the adoption of written policies and procedures, and execute the annual compliance review.
Our team is exposed on a daily basis to changing regulatory conditions and prepared to react to regulatory changes on a timely basis.
Outsourcing is a cost effective alternative to the salary and benefits cost of a full-time CCO for smaller, limited-purpose firms.
Take advantage of our knowledge and competence concerning industry best practices. Remain up-to-date regarding rules, regulations, and their application by leveraging the expertise we have gathered through working with multiple firms and regulators.
All associate directors, directors, and partners registered with Series 7 & 24
DFP Partners has been in
business for over 60 years
Average industry tenure
at partner level
An outsourced Chief Compliance Officer takes on the full scope of compliance leadership responsibilities for your firm—without the commitment of a full-time hire. Our outsourced CCO services provide experienced, hands-on oversight of your compliance program, including the development and maintenance of tailored policies and procedures, management of day-to-day compliance activities, and ongoing monitoring of regulatory obligations. At DFP Partners, our outsourced CCO services are delivered by experienced compliance professionals with deep expertise across both SEC-registered investment advisers and FINRA-regulated broker-dealers. Our team includes qualified FINRA Series 24 registered principals, bringing the expertise required to effectively oversee broker-dealer compliance programs. Acting as your dedicated compliance partner, we manage regulatory interactions, provide strategic guidance, and ensure your firm remains aligned with evolving SEC, FINRA, and state requirements.
Regulatory examinations by FINRA, the SEC, and the states can be stressful and time-consuming, especially for firms without dedicated compliance staff. As your outsourced CCO, DFP Partners provides ongoing exam support — helping your firm stay prepared well before an examiner ever walks through the door. This includes maintaining the required books and records, identifying and addressing compliance gaps through regular internal reviews, and guiding your team through the examination process from initial requests to follow-up responses. Our consultants have extensive experience representing firms before regulators, and that familiarity with the examination process is a significant advantage when it matters most.
Building an in-house compliance function can be costly and difficult to scale. Our outsourced CCO services offer a smarter alternative—providing immediate access to a team of seasoned compliance professionals who bring broad industry insight and regulatory experience. You gain high-level expertise, continuity, and flexibility, without the overhead of a full-time executive. For small firms, outsourcing may be an efficient way to maintain a strong, proactive compliance program while supporting long-term growth.
Outsourcing your CCO function offers a range of practical advantages. By partnering with DFP Partners, your firm gains immediate access to our entire team and its deep regulatory expertise—our consultants are immersed in evolving regulatory requirements on a daily basis and equipped to respond to new developments in a timely manner. We bring industry-wide best practices shaped by years of experience working with firms of varying size, structure, and complexity across both the broker-dealer and investment adviser landscape. With our support, you can maintain a high standard of compliance, strengthen your control environment, and stay focused on running and growing your firm—without compromising on regulatory expectations.
Conducting a thorough annual compliance review and conducting supervisory controls testing is not just a regulatory requirement — it is one of the most important tools a firm has for identifying weaknesses in its compliance program before they become larger problems. DFP Partners manages the entire review process on your behalf, assessing the adequacy and effectiveness of your written policies and procedures, evaluating whether your compliance program reflects current regulatory requirements and any changes in your business, and documenting findings in a manner that satisfies regulatory expectations. Our team brings an objective, experienced perspective to the review process, ensuring that your firm’s compliance program evolves alongside the regulatory environment and is always positioned to hold up under scrutiny.
An outsourced Chief Compliance Officer (CCO) assumes full responsibility for overseeing your firm’s compliance program. This includes developing and maintaining policies and procedures, managing day-to-day compliance activities, overseeing regulatory filings, and serving as the primary point of contact with regulators. An outsourced CCO also provides strategic guidance, conducts annual reviews, and ensures your firm remains aligned with SEC, FINRA, and state regulatory requirements.
There are situations where engaging an outsourced Chief Compliance Officer (CCO) makes strong practical sense. Startup broker-dealers and newly registered investment advisers often rely on outsourced support to build their compliance programs from the ground up, ensuring they meet all regulatory requirements from day one. Established firms that have a need for a replacement CCO can also benefit from experienced, immediate leadership. Outsourcing offers a flexible, scalable solution that strengthens compliance oversight while allowing firms to remain focused on their core business.
Yes. Outsourcing compliance leadership is often significantly more cost-effective than hiring a full-time CCO, particularly for small to mid-sized or limited-purpose firms. It eliminates the need for salary, benefits, and additional overhead while providing access to a team of experienced professionals. In addition to cost savings, firms benefit from our collective industry insight, scalable support, and a proactive approach to managing regulatory risk.
An outsourced CCO plays a critical role in preparing for and managing regulatory examinations. This includes organizing documentation, responding to regulator inquiries, coordinating internal resources, and guiding the firm through each stage of the exam process. With experience supporting SEC, FINRA, and state examinations, an outsourced CCO from DFP Partners helps firms reduce disruption, address potential issues proactively, and demonstrate a strong, well-managed compliance program.
