Dziura Compliance Consulting
Dziura Compliance Consulting provides outsourced CCO coverage, recurring program administration, project work, and interim staffing to investment advisers, registered funds, private-equity managers, and hedge funds. Its scope includes annual reviews, filings, policies, testing, mock exams, examination support, cybersecurity, continuity, ethics, marketing, AML, training, and operational oversight.
Overview
Dziura Compliance Consulting serves investment advisers, registered investment companies, private-equity funds, and hedge funds. Its model combines outsourced CCO and recurring program work with individual projects and temporary support during personnel transitions.
The service range extends beyond core documents into board reporting, investigations, service-provider diligence, portfolio and trading oversight, client complaints, AML leadership, and examination preparation. That breadth may suit firms with fund structures or operational complexity beyond a typical small wealth manager.
Who it may suit
Dziura may suit an adviser or fund manager that wants a provider to administer substantial portions of its program or fill the CCO role. Internal teams can also engage the firm for annual reviews, risk assessments, mock exams, training, cybersecurity, or another defined assignment.
Interim coverage is a notable option for firms between employees. Registered funds and private-fund managers may value the board and portfolio-compliance capabilities, while a new RIA seeking initial registration should confirm whether that work is offered because it is not detailed in the captured service list.
RIA compliance services
Core adviser work includes creating and monitoring manuals, updating policies, conducting Rule 206(4)-7 annual reviews, assessing cybersecurity, developing and testing business-continuity plans, filing ADV amendments, performing risk assessments and mock SEC examinations, and supporting regulatory exams.
Additional services include in-house CCO support, ethics-code administration, advertising review, misconduct investigations, vendor diligence, quarterly board reporting, regulatory filings, training, ongoing updates, complaint and record-retention oversight, trading and portfolio monitoring, and service as AML officer.
How the engagement works
The public material supports several models: outsourced CCO, broad continuing administration, internal-team support, a focused project, and interim staffing. Services are described as tailored to the client’s organization and specific regulatory needs.
The website does not publish packages, staffing assignments, response terms, or pricing. A proposal should identify every officer role, recurring task, report, filing, committee or board interaction, and item that remains with the client.
What stands out
Dziura’s distinction is the combination of adviser and fund compliance with operational oversight. The firm can address standard RIA program requirements while also supporting boards, portfolio controls, valuation, liquidity, brokerage, trading errors, service providers, and other fund-related processes.
The interim staffing option adds practical value when continuity is the immediate issue rather than a long-term outsourcing decision.
What to clarify before contacting
An RIA should define the named CCO and AML roles, authority, reporting line, and escalation process. It should also confirm assigned personnel, backup coverage, onsite expectations, board responsibilities, filing authority, testing methodology, examination support, and remediation.
Fund managers should map each entity, board, strategy, and regulatory regime to the proposed scope. Interim clients should document the engagement period, handoff plan, access to records, and responsibilities during recruitment and onboarding.