Suzanne Hammer

Suzanne Hammer

Ms. Suzanne Hammer is a Director at Vigilant. She is a Compliance Advisor with proven success working collaboratively across a large Financial Institution effectively organizing and communicating regulatory expectations. Suzanne has 18 years of compliance experience, most recently as a Chief Compliance Officer for Registered Investment Advisers with clients consisting of Individuals, High Net Worth Clients, Institutional, Charitable Organizations, Registered Investment Companies and Private Funds.

In her role at Vigilant, Ms. Hammer develops, tests, and monitors Compliance Programs for Investment Advisers, including conducting compliance reviews of Advisers, Service Providers, 38a-1 Compliance Program Reviews, and 206(4)-7 Annual Compliance Reviews of Registered Investment Advisers. Suzanne is a decisive leader in responding to regulatory officials and partnering with business leaders, risk teams and stakeholders in developing a compliance program.

Prior to joining Vigilant, Suzanne was a Compliance Director at Morgan Stanley where she coordinated responses to securities regulators in matters concerning the global institutional and wealth management divisions. She is experienced in identifying potential suspicious activity and escalations while participating in special investigations and strategic initiatives. Prior to joining Morgan Stanley, she was a Compliance Manager at Armstrong Shaw Associates, an SEC-registered investment adviser with institutional and high-net-worth individual clients. Her experience ranged from designing the Annual Review, Policy and Procedure Development, the Compliance Manual, Testing and the Administration of all aspects of the Code of Ethics including updates to Form ADV and required SEC filings. She began her career in Short Term Fixed Income Instruments and as a Portfolio Manager, Vice President, of the Money Market Funds and Short-Term Investments at Alliance Capital Management, LP.

Ms. Hammer has a Bachelor’s Degree from Saint Michael’s College in Colchester, VT.

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Call Suzanne 610-467-5020