Vigilant Compliance, LLC
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 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

Leadership Insight

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