Philadelphia Vigilant Compliance Services

In the tightly regulated business environment of today, it is more important than ever to build a corporate regulatory compliance team of respected and trustworthy industry professionals. Vigilant Compliance is a risk management company that provides comprehensive and sophisticated regulatory compliance solutions for investment management firms. When you choose Vigilant Compliance, you’ll get the superior risk and compliance services you deserve — services that will protect your future and define the direction of your business.

Philadelphia Compliance Consulting Firms

Corporate Compliance for Your Philadelphia Business

The bigger and faster your business grows, the more you need Vigilant Compliance to design a customized strategic plan that will protect you and your clients. Leading investment advisors in Philadelphia, New York, Boston, London, and Stamford count on Vigilant Compliance for outsourced compliance officer services, development, and implementation of compliance policies and procedures. We’ll identify potential problems with our Risk Matrix, test your existing compliance program with proprietary software, and more.

Vigilant Compliance can also serve as your risk compliance officer. Your business will benefit from periodic policy and procedure reviews, annual report preparation, required SEC testing, and thorough documentation. Every chief compliance officer at Vigilant Compliance has a minimum of 20 years of relevant investment industry experience. When you choose Vigilant Compliance, your business will benefit from a wealth of experience, skills, and abilities that exceed current SEC standards.

Our Services

As a thought leader in your industry, you know reputable businesses make regulatory compliance a central part of business culture. Our experience and industry reputation can give you the in-depth business analysis you need to meet your regulatory needs. Our services include:

  • Investment industry compliance — this includes mutual funds, hedge funds, and broker-dealer compliance. When you choose Vigilant Compliance, you’ll use our 5 Step Matrix System to determine the services required by your business. We can create a new compliance manual, conduct due diligence, complete SEC reports, and assess existing risks so you can better plan for your business’s future. We can also ensure your investment advisers and staff members do not threaten the health of your business with conflicts of interest and other common regulatory problems.
  • Investment adviser training — Ignorance is not an excuse for failing to follow required regulations. Vigilant Compliance can train your staff and implement necessary changes, all of which will be tailored for your specific business needs.
  • Mock SEC Exam — With over a decade of compliance knowledge, Vigilant Compliance can help your investment advisers and representatives prepare for an upcoming SEC exam. We can also test the strength of your existing compliance program.
  • RIA Registration — If you wish to launch a private investment practice, Vigilant Compliance is here to help. We can draft application forms, develop risk and compliance procedures, and help you respond to regulatory comments.

Contact Vigilant Compliance Today

RIA Compliance Training Consultants

Vigilant Compliance will take the time to learn the history and culture of your firm, and put our expertise to work for you.

Request a proposal and let Vigilant put our knowledge to work for the future of your business.