About Us

 

Vigilant: Investment Management Solutions Firm

Vigilant was established on August 15, 2004. Vigilant, is more than just a Compliance Firm, we are an Investment Management Solutions Firm focusing on servicing the Regulatory needs of a broad range of Investment Management Clients. Vigilant delivers clients end to end solutions that they can trust. Vigilant’s core competencies include Compliance Solutions for Mutual Funds, ETFs, Investment Advisers, and Broker Dealers, Principal Underwriting Solutions, Distribution Solutions, Outsourcing Solutions, Investment Management Consulting Solutions, and Cybersecurity Solutions.

For the past 16 years, Vigilant has been a leading Regulatory Compliance consulting firm- uniting Regulatory Compliance, Legal, and Financial Expertise.

Vigilant is currently serving as CCO and providing CCO Support Services for Multi-Billion dollar Funds and Advisers. Our Clients include Registered Investment Companies, Federally Registered Investment Advisers, Business Development Companies, Broker-Dealers and Private Equity Advisers.

Vigilant is experienced within a wide range of Investment Products, including ETFs, Mutual Funds, Large, Mid, Small, SMid Equity products, Long-Short Funds, Research Funds, Value, Growth, and Core Products, International and Funds, Bond Funds, REITs, and a variety of Fixed Income Products.

Our CCOs have worked with the Industry’s leading Fund Accountants, Custodians, Transfer Agents, Distributors, and Auditors. We have also worked with scores of money managers, and have experience with many types of investment management and trading software.

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Multi-Disciplined

Vigilant is an Investment Management Solutions Firm that brings together Legal Professionals, Certified Public Accountants, and other Investment Management Professionals who have worked for major asset management firms or for service providers to the Investment Management Industry. The Vigilant Team has the experience to customize a Program that fits your needs in the most cost-effective manner.

Vigilant understands the complex and ever-changing field of Investment Management and has highly experienced professional staff with experience and expertise in the marketplace. We have the ability to assist you in taking your firm from where it is now, to where you want it to be in the future.

Compliance Assurance

Vigilant’s proprietary Compliance Solution Compliance AssuranceSM, gives your Board of Directors, Senior Management, Investors, and Fund Sponsors the confidence that an independent, experienced firm is working on their behalf to ensure that their Funds and Advisers are in Compliance with Regulatory requirements.

 

Time Tested Regulatory and Compliance Services

Vigilant’s multi-disciplined capabilities, extensive Client base, knowledge, and wealth of Investment Management experience, can put your firm in touch with the latest in the industry’s methodologies by customizing your own unique service model to ensure that you are not just keeping up―but keeping ahead. Put our tested methods to work for you.

As with all investments, an investment in Compliance should add value to your firm. Using Vigilant as your Compliance Team allows you to utilize your resources effectively. Vigilant provides your Compliance Solution―without creating another Cost Center that will detract from your bottom line.

Vigilant CCOs:

 

“CCOs at Vigilant have extensive experience in the Investment Management Industry ―and each meets or exceeds SEC standards for Knowledge, Competency, and Compliance abilities. Professional excellence and service are our hallmarks.”

Salvatore FaiaJD, CPA, CFE, President

 

At Vigilant, our CCOs:

  • Serve as your Chief Compliance Officer
  • Conduct a specialized meeting with your firm to review Compliance requirements
  • Prepare your Compliance Manual and Compliance Policies and Procedures
  • Prepare a Risk Matrix
  • Operate and Manage your Compliance Program
  • Test your Compliance Program using Vigilant’s Proprietary System Compliance AssuranceSM
  • Document our Testing of SEC required Areas
  • Track and Document Compliance Oversight of High Risk Areas
  • Advise Management or the Board on required Compliance Issues
  • Conduct Compliance Reviews of Service Providers
  • Prepare an Annual Review Report with Supporting Documentation and Exhibits