Vigilant Compliance, LLC was established on August 15, 2004. Vigilant Compliance is a full service Global Compliance Firm providing, Investment Advisor Compliance Services, Mutual Fund Compliance Services, Broker Dealer Compliance Services, and Compliance Consulting to a diversified range of investment management clients.
Our Services
Let our knowledge work for you.
Investment Advisers
Vigilant Compliance can provide the in-depth analysis and strategic planning you need to succeed, as well as help your business manage complex regulatory issues successfully and strategically.
Mutual Funds
Review marketing materials, conduct insider trading training, prepare quarterly Board compliance reports, resolve SEC inquiries and more.
Private Equity Firms
Identify potential conflicts of interest, develop compliance programs for complex transactions and perform counterparty reviews.
Broker/Dealers
Vigilant Compliance provides multi-dimensional, sophisticated consulting services, and outsourced Chief Compliance professionals for new and existing broker dealers.
Vigilant Consulting
Analyze and assess your firm’s growth plans, recommend modifications to keep pace with projections, discuss the latest adviser and fund growth methodologies.
Cybersecurity
Cybersecurity assessment, application integration, business continuity, and disaster recovery.
Compliance Leaders
- Friday, February 20, 2015
2015 Vigilant Compliance Investment Adviser Conference...
- Wednesday, September 17, 2014
2014 NSCP Conference
- Thursday, March 7, 2013
Mutual Fund Directors Forum – Director...
Leadership Insight
- Friday, April 19, 2019
Silicon Valley Company Settles Fraud Charge...
- Tuesday, April 16, 2019
SEC and FINRA to Hold National...
- Monday, April 15, 2019
Sara Cortes and David Bartels Named...
Experience
Every CCO at Vigilant has extensive experience in the Investment Industry ―and each exceeds SEC standards for Knowledge, Competency, and Compliance abilities. Professional excellence and service are our hallmarks.
Vigilant Compliance, LLC was established on August 15, 2004. Vigilant is a full service Compliance Firm providing, Investment Advisor Compliance Services, Mutual Fund Compliance Services, Broker Dealer Compliance Services, Outsourced Financial Operations, Cybersecurity Solutions and Compliance Consulting to a diversified range of investment management clients. Learn More