Compliance, Outsourcing & Investment Management Consulting Solutions in Metro Philadelphia
Philadelphia Compliance Solutions
In the tightly regulated environment today by the SEC and FINRA, it is more important than ever to comprise a regulatory compliance team of respected and trustworthy industry professionals. For nearly two decades, Vigilant has been a leader in the Regulatory Compliance Industry providing comprehensive and sophisticated regulatory compliance solutions for Investment Management Firms. When you choose Vigilant, you’ll get the best-in-class compliance solutions you deserve — solutions that will help protect your future and define the direction of your business.
Regulatory Compliance for Your Philadelphia Business
The bigger and faster your Firm grows, the more you need a Firm like Vigilant to design a customized strategic plan that will protect you and your clients. Leading Investment Advisers and Broker Dealers in Philadelphia, New York, Texas, Pittsburgh, Metro Washington, D.C., and around the country count on Vigilant for Outsourced Chief Compliance Officer Services. A core focus is on the development and implementation of your compliance policies and procedures. We’ll identify potential problems and test your existing compliance program during our initial gap analysis assessment. Your business will benefit from periodic policy and procedure reviews, annual report preparation, SEC Exam assistance, and thorough documentation. Directors at Vigilant have combined for over 500+ years of relevant investment industry experience. When you choose Vigilant, your Firm will benefit from a wealth of experience, skills, and abilities that exceed current SEC standards.
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 solutions include:
- Investment Adviser Compliance — this includes Private Equity, Mutual Funds, Hedge Funds, ETFs, Real Estate Funds and Broker Dealer compliance. 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 make sure your investment advisors 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 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 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 is here to help. We can draft application forms, develop risk and compliance procedures, and help you respond to regulatory comments.
Contact Vigilant Today
Vigilant 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.