Compliance, Outsourcing & Investment Management Consulting Solutions in Boston

Boston Compliance Solutions

With each passing decade, Registered Investment Advisers and Broker Dealers continue to 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 Firms can count on Vigilant for sophisticated Compliance Solutions to their most demanding business problems. Vigilant is a leader in regulatory compliance consulting which consists of highly qualified professionals consisting of deep industry experience across the Investment Management and Financial Services Industry.

Defining Innovative Strategies for a Successful Future

The right strategic plan helps your business grow and sustain profits as well as your reputation. Vigilant serves leading Investment Advisory Firms from Boston and around the world. Our experienced professionals define innovative solutions for difficult challenges. With experts in Metro New YorkPhiladelphiaTexas, Pittsburgh, and Metro Washington, D.C., Vigilant is well-positioned to provide you and your employees with a customized compliance program and expert consulting services that are needed to manage the complex regulatory environment.

Vigilant provides:

  • Chief Compliance Officer Solutions. Let Vigilant develop and implement policies and procedures that will position your Firm for success well into the future. A glimpse into the areas Vigilant covers include:
    • Testing your existing compliance procedures
    • Completing due diligence
    • Preparing annual reports
    • and much more.

Our Chief Compliance Officers have over 500 years of relevant industry experience.

  • RIA Registration Solutions. If you plan to launch a new Investment Advisory Firm, Vigilant can help you build a compliance program that contains best in class compliance practices. In today’s strict regulatory environment, there is no room for error — and Vigilant will assure your policies and procedures meet or exceed current regulations.
  • Mock SEC Exam Solutions. Vigilant can help you and your employees prepare for SEC Examinations.
  • Investment Adviser Training.  Vigilant will assess your practices, develop new approaches and train your team to help avoid potential regulatory problems from arising.

View all Compliance Solutions

Put Our Knowledge to Work for You

Expert, custom-tailored Compliance Solutions that meet the needs of sophisticated Firms are why Vigilant is a 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.