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 YorkTexas, 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.

Our Solutions

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:

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.