The First 90 Days Compliance Checklist

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. 

Download the 90-Day Compliance Checklist