Justin Dausch, Esq.
Justin Dausch, Esq.
Mr. Justin Dausch is a Managing Director at Vigilant and currently serves as Chief Compliance Officer and consultant for Investment Advisers, Mutual Funds, and Broker/Dealers.
Justin has developed, tested, and monitored the Compliance Programs for a variety of Investment Advisers, registered Investment Companies, ETFs, Hedge Funds, Broker/Dealers, Commodity Pool Operators, and Private Equity Funds. He has extensive experience with Regulatory Filings including Form ADV, state registrations, CFTC filings, Forms 13F, 13G, 13H, and Form PF. He also has experience working with FINRA and the SEC during regulatory examinations.
Justin began his Legal and Regulatory Compliance career at the US Division of HSBC. His team handled Legal and Regulatory Compliance matters related to AML and other financial risks.
Justin regularly interacted with FinCEN, OCC, and internal and external auditors during his time at HSBC. Through his work at HSBC, Justin has extensive experience in applicable federal regulations including the Sarbanes-Oxley Act, Bank Secrecy Act, and the PATRIOT Act.
Justin received his Juris Doctorate Degree from the College of William & Mary where he served on the Business Law Review and graduated with public service honors. Justin graduated with magna cum laude honors from the University of South Carolina. He is licensed to practice law in Pennsylvania and New Jersey. He holds FINRA Securities Licenses, including the Series 7 (General Securities Representative), Series 24 (Securities Principal), Series 63 (Uniform Securities Agent), and Series 79 (Investment Banking Registered Representative Examination).
In his spare time, Justin serves on the boards of two non-profits, AXYS and Profugo.