New York City Compliance Services

Businesses that operate in heavily regulated environments such as finance require experienced, sophisticated compliance services and guidance. Vigilant Consulting is the leader in regulatory compliance consulting, and the only compliance consulting firm that employs professionals from the legal, accounting and finance disciplines. When you choose Vigilant Compliance, your firm will define its culture with industry-leading best practices tailored to the needs of your business.

NYC Compliance Services

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 Compliance for sophisticated, innovative solutions to their most difficult decisions. With offices in New York, London, Boston, Philadelphia and Stamford, Conn., Vigilant Compliance is well-positioned to provide you and your employees with the sound advice and expert services you need to manage a complex regulatory environment.

Vigilant Compliance provides:

  • RIA Registration services. If you plan to launch a new investment advisory firm, Vigilant Compliance can help you build a business in which superior compliance practices form the basis of your culture. In today’s strict regulatory environment, there is no room for error — and Vigilant Compliance will assure your policies and procedures meet or exceed current regulations.
  • Chief Compliance Officer services. Let Vigilant Compliance develop and implement the policies and procedures that will position your new business for success well into the future. Choose the services you need with our proprietary 5 Step Risk Matrix, which includes testing your existing compliance procedures, completing due diligence, preparing annual reports and more. Our Chief Compliance Officers each have over 20 years of relevant industry experience.
  • Mock SEC testing services. Vigilant Compliance can help you and your employees prepare for required SEC testing.
  • Adviser training. Claiming ignorance is not an effective defense against compliance problems. Let Vigilant Compliance assess your practices, develop new approaches and train your staff so that your regulatory problems stay in the past.
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A Strong Future With Vigilant Compliance

RIA Compliance Training Consultants
The professionals at Vigilant Compliance believe custom-tailored regulatory compliance solutions that parallel the culture of your firm offer the best defense against operational challenges. They also position your business for a future defined by growth and success. Contact Vigilant Compliance and put our experience to work for your firm today.