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
- Thursday, November 5, 2020
The Unprecedented Future of Working Fully...
- Tuesday, November 3, 2020
October 2020 Recap
- Thursday, October 1, 2020
Compliance Recap: September 2020
Leadership Insight
- Friday, January 15, 2021
What’s Happening from Start-Up to Small...
- Friday, January 15, 2021
Fee Rate Advisory #2 for Fiscal...
- Thursday, January 14, 2021
SEC Awards Nearly $600,000 to Whistleblower
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