Compliance Consulting Group

What Compliance Consulting Group does

Compliance Consulting Group (CCG) is a private, Boca Raton, Florida-based regulatory compliance consulting firm that serves US financial services intermediaries subject to oversight by the National Futures Association (NFA), the Commodity Futures Trading Commission (CFTC), and the Financial Industry Regulatory Authority (FINRA). The firm was established with a 2018 copyright and operates with a small team of 1-10 employees, addressing complex and evolving forex, futures, and commodities regulatory requirements for its client base. Its go-to-market is sales-led, anchored by a free consultation offering and direct engagement with prospective regulated firms.

CCGs core offering is a Virtual Compliance Office (VCO) model, in which the firm acts as an outsourced compliance department, interfacing with client staff as if it were an in-house team. The service portfolio spans registration and licensing support (including NFA/CFTC registrations and Swap Dealer registration), customized compliance and supervisory manuals, AML policy development and CAMS-led independent AML audits, Privacy Act policy preparation, NFA/FINRA pre-audits and IB/branch audits, FOREX compliance reporting and alternative risk-based capital calculations, CTA Disclosure Document preparation, promotional material review, disaster recovery and business continuity planning, and fund accounting services such as 1FR preparation, net capital computation, and K-1 form preparation. Revenue is generated through professional services engagements structured as recurring retainers or project-based pricing, with all engagements priced on a custom quote basis rather than published tiers.

CCG has no disclosed proprietary technology platform, mobile applications, APIs, or AI/ML capabilities; the firm relies on direct professional service delivery and an outdated Flash-based website. Operating geographies are restricted to the United States, and no parent company, institutional investors, funding rounds, mergers, acquisitions, leadership changes, or strategic partnerships are documented in the available material. The absence of disclosed customer logos, revenue figures, or growth metrics places the firm firmly in the small-boutique professional services tier.

Name

Compliance Consulting Group

Legal name

Compliance Consulting Group

Website

https://consultccg.com

Company type

Private

Founded year

2018

Operating status

Operating

Headcount range

1–10 employees

Short description

Compliance Consulting Group is a Boca Raton-based private consulting firm providing NFA, CFTC, and FINRA regulatory compliance services to US financial services firms. Its core offering is a Virtual Compliance Office (VCO) acting as an outsourced compliance department.

Ownership category

akta.pro rank

Product category

Regulatory Compliance Consulting

NAICS

Management Consulting Services (54161), Other Management Consulting Services (541618)

SIC

Services-Management Consulting Services (8742)

akta.pro primary industry

Regulatory Compliance Advisory (BPAHAFAB)

akta.pro secondary industries

Risk, Compliance & Internal Controls Consulting (BPAHACAJ), Financial Crime Compliance Program Management (Policies, Controls, Training) (FSAMAMAH)

Keywords

• Regulatory compliance consulting
• AML audit services
• NFA CFTC registration
• Fund accounting services
• FOREX compliance support

Headquarters

HQ city

Boca Raton

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure

Revenue model

1. Compliance Consulting Services: Professional services revenue generated through regulatory compliance consulting, including Virtual Compliance Office (VCO) arrangements, registration services, compliance manual preparation, AML audits, and ongoing advisory services. Likely structured as recurring retainer arrangements or project-based engagements.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels2 records

Core offering

Compliance Consulting Group provides outsourced regulatory compliance and accounting services to U.S. financial services firms regulated by the NFA, CFTC, and FINRA. Its flagship Virtual Compliance Office (VCO) acts as a full-service outsourced compliance department, covering registration, AML policy and audits, compliance manuals, FOREX compliance, disaster recovery planning, fund accounting, net capital computation, and promotional material review. Services are priced on a custom engagement basis, primarily through recurring retainers or project-based fees.

Product overview

Compliance Consulting Group (CCG) offers a comprehensive suite of compliance, regulatory, and accounting services primarily for financial services firms operating under NFA/CFTC and FINRA oversight. The core offering is the Virtual Compliance Office (VCO), which serves as a full-service compliance department replacement. Services span registration and licensing support, policy development (AML, Privacy Act), audit services (AML audits, pre-audits, IB/branch audits), financial reporting and fund accounting, FOREX compliance, and promotional material review. The portfolio includes specialized services such as Swap Dealer Registration, CTA Disclosure Document preparation, Net Capital Computation, and Disaster Recovery/Business Continuity planning.

Differentiator

Problem solved

Functional benefit

Products and services

• Virtual Compliance Office (VCO) An outsourced compliance department service that allocates compliance expenses effectively while providing access to a group of qualified consultants who perform all duties of full-time compliance staff for financial services firms.
• Registration Services Preparation of all registration forms and applications for firms and staff, including NFA/CFTC registrations (all categories) and Swap Dealer registration, with CCG interfacing with NFA/FINRA through the approval process.
• Compliance Manuals Assessment of a firm's needs and preparation of customized compliance and supervisory procedures manuals aligned with NFA/CFTC/FINRA regulatory requirements.
• AML Policy Development Development of an individual firm's written Anti-Money Laundering policy and training program compliant with the US Patriot Act and NFA/FINRA requirements.
• AML Audit Annual independent onsite review of a firm's adherence to its AML policy with a written audit report issued to management, performed by a CAMS-certified AML Specialist to satisfy SRO third-party audit requirements.
• Privacy Act Policy Preparation Preparation of a firm's written privacy policy notice required to be distributed to all clients under regulatory requirements.
• Disaster Recovery/Business Continuity Planning Development of a firm's backup, business continuity, and disaster recovery plan as required under NFA/FINRA regulations.
• Online Accounting and Financial Statement Preparation Setup of a firm's general ledger and operating accounts online, bookkeeper training, generation of income statements, balance sheets, trial balances, general ledger, and preparation of 1FR financial statements and capital computation as required by CFTC/FINRA.
• Net Capital Computation Calculation and preparation of net capital computation as required by regulatory authorities.
• FOREX Compliance Services Ongoing advisory on changing retail foreign exchange rules, preparation of daily NFA FOREX reports, and calculation of alternative risk-based capital requirements.
• NFA/FINRA Pre-Audit Onsite mock NFA/FINRA/SEC audit to ensure a firm is prepared for actual examination by regulators, with IB and branch office audits also available.
• CTA Disclosure Documents Assistance with writing Commodity Trading Advisor (CTA) Disclosure Documents in accordance with CFTC/NFA requirements, including preparation of performance tables.
• Promotional Material Review Review of all marketing materials used by the firm — including websites, mailings, sales scripts, radio and television advertisements — to ensure regulatory compliance.
• Fund Accounting Monthly fund accounting services including balance sheet, income statements, distribution ledger, partner statements, performance tables, fee calculations, and K-1 forms.

Quantifiable outcome

• Cost savings compared to full-time in-house compliance staff

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators2 records

Expansion highlights2 records

Direct peers

• ACA Group: ACA Group (formerly ACA Compliance Group) is a leading provider of compliance, risk, and technology solutions for financial services firms, including broker-dealers, RIAs, and futures/commodities firms. Directly comparable to CCG in serving NFA/CFTC-regulated entities with GRC consulting, AML, and registration support.
• National Regulatory Services (NRS): NRS provides compliance consulting, registration, continuing education, and AML services to broker-dealers, investment advisers, and futures industry participants. Comparable to CCG in the regulatory advisory niche, including FINRA and NFA filings.
• Cipperman Compliance Services: Cipperman provides outsourced CCO and compliance services to hedge funds, private funds, and investment advisers. Comparable to CCG's VCO model — providing fractional/full outsourced compliance leadership to financial firms.
• Core Compliance & Legal Services: Core Compliance provides regulatory compliance, registration, AML, and operational support to investment advisers, hedge funds, and broker-dealers. Highly comparable outsourced compliance model to CCG's VCO offering.
• CCO Consulting Group: CCO Consulting Group provides outsourced chief compliance officer services, mock SEC/FINRA exams, and AML audits for broker-dealers and RIAs. Directly comparable fractional compliance and audit offering to CCG.
• Compliance Risk Concepts: CRC provides outsourced CCO, AML, and supervisory services to broker-dealers and investment advisers, including mock regulatory exams. Closely mirrors CCG's service mix targeting FINRA-registered firms.
• RIA Compliance Consultants (RCC): RCC provides regulatory compliance consulting and outsourced CCO services for investment advisers and broker-dealers. Comparable outsourced/fractional compliance services model to CCG's VCO.

Broad incumbents

• Wolters Kluwer Compliance Solutions: Wolters Kluwer offers broad GRC technology, regulatory compliance tools, and advisory across financial services including AML/KYC and broker-dealer compliance. A large incumbent that overlaps CCG's regulatory advisory space but at much greater scale and with software-led delivery.
• LexisNexis Risk Solutions: LexisNexis Risk Solutions provides AML/KYC, sanctions screening, and financial crime compliance data and tools across financial services. Adjacent incumbent serving similar regulatory needs as CCG's AML audit/policy work, but at scale with technology platforms.

Others

• Burgeon Software: Burgeon Software is credited as the web development vendor powering consultccg.com. Included as a vendor/enabler rather than a true peer — illustrates CCG's outsourced web infrastructure and underdeveloped digital presence.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat3 records

Key risks5 records

Key highlights5 records

Customer concentration

• LinkedInlinkedin.com/company/compliance-consulting-group

Revenue estimate

Valuation estimate

Number of profiles

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Compliance Consulting Group