Outsourced Chief Compliance Officer services
PARADOX PRINCIPALSCCO

Outsourced Chief Compliance Officer services

Senior compliance leadership.
Embedded and Independent.

Paradox Principals CCO serves as the Outsourced Chief Compliance Officer and compliance function for registered investment advisers and investment management firms.

We are part of the fabric of your firm: embedded at the outset as a partner with you and advising you on the decisions that matter at the interplay of compliance and business.

Start a conversationOur services

Our approach

More than a consultant. An executive in the room with you.

Compliance is most effective when the CCO is internalized and part of the firm's decision-making process. We take on real accountability and stay close to the business, so your compliance program reflects how your firm actually works.

The typical consultantParadox Principals CCO
Periodic check-ins and a year-end reviewA steady presence in the rhythm of the business
Delivers templates and recommendationsBuilds and runs the program with you
Works through a single point of contactWorks directly with the people who run the firm
Engaged when issues surfaceNames issues early, before they become findings
Provides advice but doesn’t carry out the work to implement itOpines and follows through to implement the advice in your firm’s environment

The engagement

One senior officer, accountable for the whole program.

Outsourced Chief Compliance Officer

We serve as your firm’s CCO.

We take ownership of the full compliance program — from design and documentation through testing, filings, examinations, and day-to-day administration — scoped to your firm’s size, structure, and stage.

Included in every engagement

Serving as your named CCO
Program design and maintenance
Policies and procedures
Annual review and risk assessment
Code of Ethics administration
Regulatory filings
Marketing and advertising review
Testing and surveillance
Examination preparation and support
Training and ongoing guidance

Who we serve

Advisory and investment firms at every stage.

Who we serve →

Emerging Investment Managers

Building an RIA compliance program that holds up to scrutiny as assets, headcount, and complexity grow.

Established RIAs

Senior-level compliance expertise for firms that need independent judgment and leadership but not a full-time hire.

Growing RIAs

A flexible CCO offering that can scale with your firm’s needs.

How engagements work

A measured start, then steady leadership.

  1. 01An initial conversationWe learn about your firm, its structure, and where the compliance program stands today.
  2. 02AssessmentWe review the existing program, filings, and practices — without assuming that what we inherit is correct or complete.
  3. 03IntegrationWe settle into a working rhythm with your team, with clear owners and timelines for each obligation.
  4. 04Ongoing leadershipWe administer, test, and refine the program as your firm and regulatory expectations evolve.

Considering an outsourced CCO? We would be glad to talk.

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