In the role as Chief Operating Officer, Mr. Chuck Martin is responsible for overseeing the day-to-day operational, marketing, and business development functions at Vigilant, reporting directly to Vigilant’s CEO. This includes serving on Vigilant’s Management Committee, which is responsible for the design and implementation of Vigilant’s servicing model utilized across its client base, most specifically focused on, Investment Advisor clients.
Chuck has extensive experience in the design, implementation, on-going risk assessment, testing, and monitoring of Compliance Programs for Investment Advisers, Mutual Funds, BDCS, and ETFs with respect to Firm Policies and Federal Securities Laws. Chuck specializes on engagements from start-ups to well-established firms with Billions in AUM. Chuck is responsible for interfacing with clients in areas of reporting testing results, planning, compliance issues, and potential issues. Chuck serves as Chief Compliance Officer for SEC Registered Investment Advisers and Mutual Funds.
Chuck has conducted and participated in compliance/due diligence reviews of Registered Investment Advisers, Fund Administrators, Custodians, Independent Research Providers, Prime Brokers, Distributors, Transfer Agents, and Anti-Money Laundering Agents. He has experience in completing various regulatory filings with the SEC, FINRA, CFTC, and NFA. He also attends and participates in Board Meetings and Audit Committee Meetings of Mutual Funds. Chuck also leads Vigilant’s Cybersecurity Practice.
Chuck has experience in managing SEC examinations, including interaction with Examiners, managing information flow, and drafting responses. In Chuck’s day-to-day activities, he has significant interaction and communication with Senior Management.
Chuck received his Bachelor of Science Degree in Accounting and Finance from La Salle University, Summa Cum Laude, and his Masters of Business Administration with a Concentration in Finance from Saint Joseph’s University. Chuck is a member of Beta Gamma Sigma, the International Scholastic Honor Society for Students in Business and Management. Chuck began his career at Grant Thornton, LLP, where he was an auditor in the Financial Services Industry.