Dallas, TX Compliance Services

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.

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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.
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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.