Published on Jun 22nd, 2021 |

Vigilant Insights | How Engaging with a Compliance Consultant can Help YOU!


Should I engage a Compliance Consultant? What are the benefits of a Compliance Consultant? How can I best leverage a Compliance Consultant? Can I utilize a Compliance Consultant to supplement our in-house compliance staff?

These are some of the many questions Vigilant has received over the past 17 plus years. Through our experience, of which many of our clients can attest to, engaging with a Compliance Consultant can provide tremendous benefits for firms, small, medium, and large.

Vigilant was established to assist Advisers and Broker Dealers on focusing on what truly matters to them the most. Whether that is making investment decisions, client servicing, etc., Vigilant and its staff of industry professionals are here to assist in filling any gaps in expertise or human capital that you may have! We understand there is no “one size fits all” approach to your offering, and that includes your compliance needs!



Vigilant’s W2 employees are comprised of industry leading compliance professionals with extensive experience developing and managing new compliance policies, modifying or testing existing systems and procedures, providing leadership for an inexperienced compliance team, planning strategies for upcoming changes, and more.

Below will be 8 Reasons to Seek a Compliance Consultant with Vigilant:

  1. We can assist your firm, whether you are a broker-dealer or investment adviser, by implementing policies and procedures that ensure compliance, while also protecting the culture and growth of your firm.
  2. When you choose a Compliance Consultant with Vigilant, you are working with a dedicated team who will train and update knowledge on their own time. You will not need to worry about ongoing training, but instead let the professionals who focus on compliance full time, oversee your program.
  3. A company such as Vigilant supports your firm from the assessment of your compliance program, all the way to the reporting and correction processes. This one-stop approach reduces the time investment and effort expended on finding new service providers for each stage of the compliance process.
  4. If your CCO does not have enough time to perform routine compliance testing and monitoring, a Compliance Consultant can help keep your firm on track by taking over some or all of those activities.
  5. Compliance Consultants can help fill the gap or transition for a CCO that is resigning, especially if there are currently no resources at the firm.
  6. Vigilant Consultants can help answer questions and guide you or your CCO through the exam process for SEC document request lists.
  7. Compliance programs may need an independent review when a firm attracts institutional investors: that is where Vigilant can step in.
  8. The resources and tools that consulting firms have to offer are vital. Vigilant offers tools and resources that make your Compliance process run quick and efficient, depending on the service requested.

From the points above, you can see that engaging with a Compliance Consultant is of great benefit to Asset and Wealth Management Firms of any size, and it is something you should seriously consider doing if you are not already.

Want to learn more about Vigilant’s Solutions?

Click HERE to learn more about our compliance solutions.