Boston Compliance Services

With each passing decade, financial firms face growing regulatory challenges. Managing a business while satisfying regulators in a tightly controlled environment requires exacting compliance practices and expert professional advice. Leading Boston businesses count on Vigilant Compliance for sophisticated compliance solutions to their most demanding business problems. As the only regulatory compliance firm that employs professionals with experience in the legal, accounting and finance industries, your firm will benefit from innovative advice that considers all aspects of your business.

Boston Compliance Services

Defining Innovative Strategies for a Successful Future

The right strategic plan helps your business grow and sustain profits as well as your reputation. Vigilant Compliance counts leading investment advisory firms from Boston and around the world as our clients because our experienced professionals define innovative solutions for difficult challenges. With offices in Boston and New York, London, Philadelphia and Stamford, Conn., you’ll find Vigilant Compliance is well-positioned to provide your firm with the perspective it needs to succeed in the modern economy.

Vigilant Compliance provides:

  • RIA Registration services. Launch your business on a sound footing when you hire Vigilant Compliance to manage your registration. Vigilant Compliance will help you develop a culture where adherence to regulation is the norm. Ignorance is never an excuse, even in today’s complex environment — let Vigilant Compliance give you the start you need to succeed.
  • Chief Compliance Officer services. Our proprietary 5 Step Risk Matrix lets you customize the services you need for a healthier compliance environment. We can test your existing policies and procedures, complete due diligence, prepare annual reports and more. Each of our Chief Compliance Officers has over two decades of experience in financial advisory compliance.
  • Mock SEC testing services. Maintaining licensing means assuring your representatives have the required knowledge. If your employees are preparing for SEC testing, let Vigilant Compliance perform mock testing services that will save you time and money.
  • Investment Adviser training. If you are starting a new firm or revamping your existing compliance practices, Vigilant Compliance can help. Our experienced professionals can assess and revise your existing procedures, and train your staff so regulatory problems stay off of your horizon.
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Put Our Knowledge to Work for You

RIA Compliance Training Consultants
Expert, custom-tailored compliance solutions that meet the needs of sophisticated, businesses are why Vigilant Compliance is the clear leader in regulatory compliance consulting. Put our knowledge to work for you and defend your business against operational challenges while positioning it for strong growth.