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RIA Compliance Training Consultants

Vigilant: Investment Management Compliance Services

Vigilant was established on August 15, 2004.

Vigilant Compliance, LLC is a full service Compliance Firm servicing the regulatory needs of a diversified range of investment management clients. Since 2004, Vigilant has been the leader among regulatory compliance consulting firms; uniting regulatory compliance, legal, financial expertise and now paving the way to the Market for our clients.

Vigilant is currently serving as CCO 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 Firms.

Vigilant also serves as CCO for a Multi-Billion dollar Fund which contains Portfolios used as the investment vehicle for insurance company variable annuity products. We offer high-quality investment management, regulatory, and compliance services.

Vigilant has experience in a wide range of investment products, including 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 leading Fund Accountants (including BNY Mellon, State Street, and US Bank), Custodians (BNY Mellon, JP Morgan, and others), 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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Vigilant is an Investment Industry Leading, Regulatory Compliance Company that brings together Legal Professionals, Certified Public Accountants, and other Licensed practicing professionals who have worked for major asset management firms or for service providers to the Asset Management Industry. Our 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 asset 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 your vision for its future.

Quality Assurance

Vigilant’s combined staff of Legal and Financial professionals are experienced in diversified areas of Compliance to give your Board of Directors, Senior Management, Investors, and Fund Sponsors the confidence that an independent, experienced firm is working on its behalf to ensure that their Funds and Advisers are in full Compliance with Regulatory requirements.
Read about our Senior Management

Time Tested Regulatory and Compliance Services

Vigilant’s multi-disciplined capabilities, extensive Client base, knowledge, and wealth of asset 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 in the lead.   We are the largest Outsourced CCO Firm. 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 CCO Firm 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:

“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.”Salvatore Faia, JD, 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
  • Document our Testing of SEC required Areas
  • Track and Document Compliance Oversight of High Risk Areas
  • Advise the Board relating to required Compliance Issues
  • Conduct Compliance Reviews of all Service Providers
  • Prepare Annual Review Report with Supporting Documentation and Exhibits

Vigilant’s careful testing and documentation supports the Annual Review Report. When the SEC performs an Examination, your Documentation is already there.

You want a CCO that puts industry leading knowledge and experience on your side―Vigilant is there.

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Modified: November 7, 2018