About Us
Vigilant Compliance: An Award Winning and Industry Leading Compliance Firm
Vigilant was established over 20 years ago on August 15, 2004. We continue to remain independent and privately held which allows us to maintain complete autonomy to serve our clients unique compliance needs. Through our Boutique Servicing, we deliver clients Institutional grade end-to-end Compliance Solutions that they can trust.
Our core competencies include Compliance Services for Registered Investment Advisers (“RIAs”) and Broker Dealers. Vigilant is currently serving as CCO and provides CCO Support Services to Firms ranging from Millions to Multi-Billions in Assets Under Management (AUM).
Our diverse range of RIAs we work with are Private Equity firms, Hedge Funds, Closed-End Funds, ETFs, Mutual Funds, Real Estate Funds, BDCs, and more. Vigilant also has a Broker Dealer that provides Registered Representative and Principal Underwriter Services.
Multi-Disciplined
Vigilant is an Outsourced Compliance Services Firm that brings together Investment Management Attorneys, CPAs, CFEs, CFAs, IACCPs, CIPMs, MBAs, FINRA Registered and other Licensed practicing professionals who have worked for Asset Management Firms or for Service Providers to the Investment Management Industry. The Vigilant Team has the experience of tailoring and customizing a Program that fits your needs in the most cost-effective manner.
Vigilant understands the Investment Management Industry and its complex and ever-changing Rules and Regulations. Our professional staff has the expertise to help your firm not only today, but should it change in the future.
ComplianceAssurance™
Vigilant’s Web-Based Proprietary Compliance Management Software, ComplianceAssuranceTM, gives Clients the confidence that an independent and experienced compliance firm is working on their behalf to ensure that their Advisers, Broker Dealers and/or Funds are in Compliance with Regulatory requirements applicable to their business.
Time Tested Regulatory and Compliance Services
Vigilant’s broad range of expertise, extensive client network, and deep experience in Financial Services and Investment Management can help your firm access the latest industry methodologies. We customize a unique service model for you, ensuring you’re not just staying current—but staying ahead. Let our proven approaches drive your success.
As with any investment, investing in Compliance should bring value to your firm. By partnering with Vigilant as your Compliance Team, you can make the most of your resources. We offer a Compliance Solution that enhances value without adding an additional Cost Center that affects your bottom line.
Vigilant Directors:
“Directors at Vigilant have extensive experience in the Financial Services and Investment Management Industry ― and each meet or exceeds SEC/FINRA standards for Knowledge, Competency, and Compliance abilities for CCOs. Professional excellence and service are our hallmarks.”
–Salvatore Faia, JD, CPA, CFE, President and Chief Executive Officer
At Vigilant, our Directors:
- Can serve as your Chief Compliance Officer (CCO) or support your in-house CCO.
- Conduct a tailored meeting to review your firm’s Compliance requirements
- Prepare and Develop your Compliance Manual and Compliance Policies and Procedures
- Prepare a Risk Matrix
- Manage and oversee your Compliance Program
- Test your Compliance Program using Vigilant’s Proprietary System ComplianceAssuranceTM
- Document our Testing of SEC required Areas
- Monitor and Document Compliance Oversight of High Risk Areas
- Provide guidance to Management or the Board on Compliance matters and/or issues
- Conduct Compliance Reviews of Service Providers
- Prepare an Annual Review Report with Supporting Documentation and Exhibits
- Consult on SEC, FINRA, CFTC and other regulatory matters
Get Started With Vigilant Today
By learning your firm’s history, business, and culture, our professionals can help your firm remain in compliance and avoid regulatory headaches while preparing you for future growth. Contact us today to request a proposal tailored to your firm’s needs.
