Compliance, Outsourcing & Investment Management Consulting Solutions in New York City

New York City Compliance Solutions

Businesses that operate in heavily regulated environments such as the SEC and FINRA require experienced industry veterans, a sophisticated compliance program, investment consulting solutions and guidance. Vigilant is a leader in regulatory compliance consulting which consists of highly qualified professionals consisting of of deep industry experience across the Investment Management and Financial Services Industry. When you choose Vigilant, your Firm will define its culture with industry-leading best practices tailored to the needs of your business.

Strategic Advice for Complex Times

As a thought leader in your industry, you want to see your business thrive under the direction of a strategic plan that protects the interests of your partners and your clients. Investment Advisory Firms from New York City and around the globe rely on Vigilant for sophisticated, innovative compliance solutions for their most difficult decisions. With experts in 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

A Strong Future With Vigilant

The professionals at Vigilant deliver custom-tailored solutions that align with the culture of your Firm while offering defense against operational challenges and best strategies to parallel financial growth – positioning your business for a future defined by growth and success. Contact Vigilant and put our experience to work for your Firm today.