Outsourced Compliance Solutions

The Core Compliance Approach

Our Solutions

Core's packaged service offerings provide a comprehensive solution to meet the needs of registered investment advisers and broker-dealers. Our team of compliance professionals has the experience and expertise to oversee and enhance your compliance program, allowing our clients to focus on growing their businesses.

Outsourced CCO

Our Outsourced CCO Package is designed for firms seeking the most comprehensive level of compliance support. As your firm's Outsourced CCO, Core Compliance will oversee all aspects of your compliance program, including handling regulatory exams, compliance manual updates, conducting annual reviews, reviewing marketing materials, and much more -- everything it takes to have a strong program in place.

Deputy CCO

Core's Deputy CCO Package is intended to relieve your Chief Compliance Officer of some of the substantive compliance tasks that can consume so much time. Our experienced compliance professionals can step in to handle the grind of compliance work to allow your CCO to focus on more strategic business decisions and less on day-to-day tasks.


Does your in-house CCO need additional support in completing vital compliance tasks and staying up-to-date on regulatory changes to help mitigate risk? The Core Package can provide just the right level of support to help ensure that your compliance program is sound.


If your firm's compliance team has most of your bases covered, but could benefit from some additional, expert guidance, our Basic Package offers solutions that can provide just the right amount of consulting support depending on your specific needs.

Catalog of Services

Core Compliance offers a comprehensive list of services to meet your regulatory requirements.

The Core Compliance Difference

Our Unique Process

We keep a finger on the pulse of your business to proactively plan for changes and mitigate tomorrow’s risk. Your dedicated team will work closely with you to develop comprehensive solutions to support you at any stage of growth.

Why Choose Core?

At Core Compliance & Legal Services, Inc.SM, we have a genuine passion for the work we do. Our years of in-house and regulatory compliance experience have taught us the importance of offering compliance solutions designed to fit the business needs of emerging investment managers.

Dedicated to Supporting the Strength of Your Compliance Program