Full Program Management

Fully outsource your entire compliance program.

Full program management puts a dedicated Key Bridge team in charge of your entire compliance program, from testing and the annual review to regulatory filings and examinations, with two service levels that differ only in who holds the Chief Compliance Officer title.

Fully outsource your entire compliance program.

Full program management puts a dedicated Key Bridge team in charge of your entire compliance program, from testing and the annual review to regulatory filings and examinations, with two service levels that differ only in who holds the Chief Compliance Officer title.

WHO IT’S FOR

Built for firms that want compliance handled end to end.

Full program management is for firms that would rather spend their time on clients and growth than on running a compliance program. Some have an in-house CCO who needs a full team behind them, and others want Key Bridge to fill the role entirely. In both cases a Director-led Key Bridge team learns how your firm operates and builds the program around it. Both service levels run on a flat fee with no hourly billing, so your team never has to think twice before asking us for help.

TWO SERVICE LEVELS

Choose who holds the CCO title.

Enterprise and OCCO include the same full compliance program, so the choice comes down to whether your firm keeps its own Chief Compliance Officer or names a Key Bridge professional to the role. The CCO is the person regulators look to, so the right fit usually depends on whether someone at your firm has the time and experience to carry that responsibility on top of their other work.

Enterprise

A full compliance team working alongside your in-house CCO

Chief Compliance Officer

Your in-house CCO

  • A team led by a Director-level Key Bridge consultant administers your full compliance program
  • Your CCO keeps the title, with our team working alongside them on every part of the program
  • During an examination, Key Bridge gathers the required data and drafts your regulatory responses

Outsourced CCO (OCCO)

Everything in Enterprise, with a Key Bridge professional named as your CCO

Chief Compliance Officer

A Key Bridge Compliance professional

  • Everything in Enterprise, including the full program and examination support
  • Your Key Bridge CCO is named on all filings and serves as your liaison with the SEC and state regulators
  • Your Key Bridge CCO leads the examination response on your behalf

INCLUDED AT BOTH LEVELS

One full program, whichever level you choose.

Enterprise and OCCO clients get the same deliverables, administered by the same Director-led Key Bridge team.

Program Administration

  • Risk assessment with annual updates
  • Core compliance testing and a tailored, risk-based testing program
  • Code of Ethics administration
  • Annual compliance review and drafting
  • Risk-based branch office reviews
  • Advertising review
  • Compliance templates and a tailored calendar

Examinations

  • An exam preparatory call and consultation on exam and deficiency letter responses
  • Examination stewardship, including gathering the required data and drafting your regulatory responses

Regulatory Filings

  • Form ADV and firm brochure preparation and review
  • Filing agent services for Form ADV and firm brochure submissions, U4/U5 filings, annual IARD renewals, and Form 13F
  • Web CRD/IARD account administration, coordinated with your firm’s Super Account Administrator

Ongoing Support

  • Virtual onboarding and kick-off
  • Consultation by phone and email whenever questions come up
  • Written regulatory updates
  • Employee compliance training
  • Scheduled meetings at least monthly

READY TO HAND IT OFF

Let's take compliance off your plate.

Key Bridge wants to help you build a compliance program that can build client trust, enhance your firm’s reputation, and provide a credible edge when prospects are comparing advisors. Send us a message and we’ll walk through whether Enterprise or OCCO fits your firm and what handing off your program would look like.

Get Started

OTHER SERVICES

Other ways to work with Key Bridge.

Compliance Support

Keeping compliance in-house?

Foundations and Foundations+ give your in-house team the templates, filing support, and expert guidance to run a strong program, with Key Bridge reviewing your work at the Foundations+ level.

Explore Compliance Support

RIA Registration Service

Launching a new firm?

Our RIA Registration Service gets your new firm effective, and it can roll straight into Enterprise or OCCO so the team that stood up your firm keeps running your program.

Explore RIA Registration Service