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Your First 90 Days as a CCO or RIA Founder – Simplified
A week-by-week compliance checklist designed to give you structure, clarity, and momentum.
Starting your own RIA or stepping into the CCO role means wearing a lot of hats. And if compliance is new to you, it’s easy to feel like you’re missing something important.
That’s why we created this 90-day, week-by-week checklist, built by compliance experts who know exactly what regulators expect and where new firms often stumble.
Inside, you’ll get step-by-step guidance on how to:
- Establish your compliance calendar and documentation
- Finalize core policies and internal controls
- Train employees and track attestations
- Monitor personal trading, marketing reviews, and vendor risk
- Prepare for audits and annual reviews
By the end of 3 months, you’ll have a solid foundation in place and be ready for what’s next. Take the guesswork out of your first 12 weeks as a CCO or firm founder.