Leading outsourcing for broker-dealers

Outsourced Chief Compliance Officers

Outsourced CCO solutions for Broker-Dealers and RIAs, deep expertise for compliance.

Full-service compliance programs

Tailored to your specific needs.

Backed by an entire company of industry professionals.

Our team consists of Former Regulators, industry Compliance Experts, Lawyers, and FINRA Series 24 Registered

Why Hire An Outsourced Chief Compliance Officer?

The decision to outsource your Chief Compliance Officer role is an important one, and there are things you should consider, including resource availability, experience, and interaction with regulators. Outsourced CCOs can fill the role for your firm until you have found a suitable candidate, support a CCO already in place by providing extra knowledge and experience, or fill the position indefinitely.

Competence and Dedication You Can Rely On

We provide an outsourced professional who is right-sized for your organization. No more having to wonder if your candidates are qualified to meet the daily challenges of regulatory compliance for your firm. Our outsourced Our Outsourced CCO professionals provide the unique benefit of getting a multi-disciplined professional without having to interview, negotiate, hire, onboard and maintain another employee.

Our outsourced CCOs provide superior capabilities Broker-Dealer compliance backed by an entire company of industry professionals.

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Hear it from our clients

We've been partnering with JSM Advisors for over two decades, and their expertise in regulatory compliance has been invaluable to our brokerage firm. Their team consistently ensures that we meet all necessary regulations and standards, allowing us to focus on our core business. JSM Advisors is not just a service provider; they are an integral part of our success.

Brokerage Firm

As a Registered Investment Advisor, compliance is paramount in our industry. JSM Advisors has been our trusted compliance partner for the last 15 years, and their services have been exceptional. Their knowledgeable team and personalized approach have made navigating the complex regulatory landscape a breeze. We highly recommend JSM Advisors to any RIA looking for top-tier compliance solutions.

Wealth Management Firm

JSM Advisors has been instrumental in our broker-dealer's success. Their regulatory compliance services are comprehensive and tailored to our specific needs. From membership registration to ongoing oversight of our books and records, they've consistently exceeded our expectations. Their experienced team has saved us both time and money while ensuring we remain fully compliant.

Horizon Capital Brokers

As a smaller broker-dealer, we were concerned about the cost and complexity of maintaining compliance. JSM Advisors came to our rescue. Their cost-effective solutions and outsourced Chief Compliance Officer (CCO) services have allowed us to meet all regulatory requirements without the burden of hiring and training in-house staff. JSM Advisors is a true partner in our growth.

Summit Securities

I can't express enough how valuable JSM Advisors has been to our firm. For four decades, they've consistently demonstrated their expertise and commitment to our compliance needs. Their proactive approach to regulatory changes and their quick response to our inquiries have made them an indispensable part of our Registered Investment Advisor practice. We're proud to have JSM Advisors on our team.

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