With each passing year, staying in front of changing federal compliance rules and regulations becomes more challenging. If your broker-dealer or investment adviser firm requires innovative advice from an experienced and sophisticated consultant, contact Vigilant Compliance.
Vigilant Compliance is a leading compliance consulting firm that employs seasoned professionals from the legal, financial and accounting disciplines, and we can provide your business with the specific services that meet your precise needs.
Sophisticated Solutions for Better Decisions
You’ve worked hard to develop a strategic plan that protects the wealth of your clients and assures your firm’s continued growth. Industry leaders from around the globe depend on Vigilant Compliance for a wide range of solutions, from outsourced CCO support services to cybersecurity and broker-dealer compliance.
Our offices, located in Dallas, Texas; New York; London; Boston; Philadelphia; Stamford, Conn; and Washington, DC, employ professionals who understand what it takes to navigate a dynamic and complex regulatory environment. Review our 5-Step Matrix SystemSM to determine the services that will benefit your business, and get in touch with us to schedule a consultation. With Vigilant Compliance, our services will focus your mind on more important matters.
Vigilant Compliance provides:
- RIA Registration services. The strength of your business’s compliance policy dictates your firm’s culture. There is no room for error. Contact us when you’re ready to launch your new enterprise.
- Mock SEC testing services. Prepare for SEC testing with Vigilant Compliance, and gain insight into your firm’s policies and procedures.
- Adviser training. Prevent regulatory problems with our training services, and avoid costly litigation, fines and sanctions.
- View all Compliance Services
Custom Solutions for Operations Challenges
Vigilant Compliance tailors sophisticated solutions for changing regulatory challenges. Prepare your Dallas-area firm for growth and success, and contact Vigilant Compliance for a consultation today.