Compliance Services Overview

Vigilant Compliance provides comprehensive regulatory advisory solutions for a diverse range of financial firms. Our professionals implement sophisticated compliance plans for a global client base comprised of respected industry leaders. When you partner with Vigilant Compliance, you’re getting the industry-best practices that can define the future of your business.

When it comes to strategic planning, leading investment advisers turn to Vigilant. Whether it’s outsourcing your Chief Compliance Officer and your compliance program, or turning to us for compliance support or specialized testing, we are the name you can trust.

Investment Adviser Compliance

Strict compliance with financial regulations is the hallmark of every reputable business in the financial industry. If your business needs a Chief Compliance Officer, Vigilant Compliance can provide the in-depth analysis and strategic planning you need to succeed.

Our 5 Step Matrix System lets you choose the service or services that are right for your business, whether you need to create a new compliance manual, assess existing risks, conduct due diligence or complete SEC reports. Vigilant Compliance can also help your business manage complex regulatory issues successfully and strategically — so you can better plan for growth. Learn more about Vigilant’s Investment Adviser Compliance Services.


Investment Adviser Training

In today’s complex regulatory environment, building and sustaining a strong compliance foundation is essential. Ignorance is no excuse, and your firm needs a compliance consultant who understands industry best practices. You also want to work with someone who can implement these practices throughout your staff. Vigilant Compliance provides comprehensive compliance training tailored to standard and company-specific solutions. Learn more about Vigilant’s Investment Adviser Compliance Training Services.

Mutual Fund Compliance

The 5 Step Matrix System is an outstanding resource for mutual funds that require experienced compliance oversight. Vigilant Compliance provides mutual fund leaders with the knowledge they need to stay in compliance in today’s complex regulatory environment — while also planning for strong future results. Review marketing materials, conduct insider trading training, prepare quarterly Board compliance reports, resolve SEC inquiries and more. Learn more about Vigilant’s Mutual Fund Compliance Services.

Private Equity and Hedge Funds

A strong compliance program isn’t just a necessity, but it’s a competitive advantage – especially if you represent a hedge fund or private equity firm. Hedge funds and private equity firms must comply with strict compliance rules based on investment styles.

When you partner with Vigilant Compliance, you can identify potential conflicts of interest, develop compliance programs for complex transactions and perform counterparty reviews. You can also complete required Code of Ethics training, and resolve SEC inquiries. We’ve all seen what happens when private investment firms don’t meet compliance regulations — if your business is a private equity firm or hedge fund, Vigilant understands your compliance needs. Learn more about Vigilant’s Private Equity and Hedge Fund Compliance Services.

Exchange-Traded Funds (ETF) Compliance

If your broker-dealer or investment adviser firm sells or plans to sell exchange-traded funds (ETF), you’ll need to be prepared with a specialized ETF compliance program that meets strict regulatory requirements. Vigilant has extensive experience working with SEC Registered Investment Advisers who manage ETF products, as well as manage the compliance programs for ETFs. Vigilant has extensive knowledge and experience, which allows us to provide your firm with the appropriate policies and procedures. All of which, allows you to manage the compliance program of your ETF product. Learn more about Vigilant’s ETF Compliance Services.

Broker Dealer Compliance

Broker dealers must meet a diverse range of complex regulatory requirements. Vigilant Compliance provides multi-dimensional, sophisticated consulting services, and outsourced Chief Compliance professionals for new and existing broker dealers. Vigilant Compliance also offers a 5 Step Matrix System that can provide your broker dealer with everything from simple advisory services to comprehensive regulatory staffing and support. Assure your broker dealer stays on the right side of the law with Vigilant Compliance. Learn more about Vigilant’s Broker Dealer Compliance Services.

Outsourced Chief Compliance Officer Services

Today’s rapidly expanding regulatory landscape requires up-to-date compliance policies and personnel that provide ample protection for your clients and your firm, preserve growth and meet both SEC, FINRA and CFTC requirements. Vigilant Compliance provides outsourced CCO services for broker-dealers and investment advisers, including full-service compliance programs, tailored to specific needs. Learn more about Vigilant’s CCO Outsourcing Services.

Outsourced Financial Operations Services

Vigilant Compliance can provide your broker-dealer with an outsourced financial operations principal who helps your member firm meet its strategic goals. With Vigilant Compliance, your business will partner with a licensed Series 27 professional with the requisite experience, and who will support and enhance your existing FinOp practices while protecting your firm and clients. Learn more about Vigilant’s Outsourced FinOp Services.

Cybersecurity Solutions

Corporate cybersecurity has been a growing focus of many corporations, businesses and organizations around the world. Vigilant Compliance can assess current, existing and potential threats to you and your company. Threats come in all shapes and sizes; from 3rd party vendors to internal quality control processes. We’ll provide a detailed report of any and all cyber risks as well as recommendations and remedies. You’ll also receive a tailored security policy and incident response policy. Protect yourself from cybersecurity threats today. Additional services include:

RIA Registration

If you’re considering launching your own investment adviser practice, Vigilant Compliance can help you address the regulatory challenges that define our industry. Vigilant Compliance provides comprehensive RIA registration services, including drafting application forms, developing policies and procedures, and responding to regulatory comments. Should you choose to outsource your Chief Compliance Officer, or if your existing CCO needs support, Vigilant Compliance provides sophisticated advice.

Mock SEC Exam

Is your firm prepared for an SEC Exam? Vigilant Compliance has taken 10 years of compliance knowledge it has developed in the industry and applied it to a Mock SEC Exam Program specifically designed for Investment Advisers and Registered Investment Companies (RIAs). This program will prepare your firm and employees for an SEC exam through a live examination conducted by Vigilant which mirrors the key procedures followed by the SEC. Our Mock SEC exams also simultaneously test the effectiveness of your compliance program by reviewing various aspects of your firm’s SEC compliance. Learn more about Vigilant’s Mock SEC Examination Services.

Get Started with Vigilant Compliance, LLC

Vigilant Compliance has worked with many of the most respected thought leaders in the financial industry. We are ready to put our multifaceted experience and unparalleled industry knowledge to work for you.

When you choose Vigilant Compliance, you’ll gain a partner who will take the time to understand the culture and history of your firm – a culture and history that excellently predict future growth. Vigilant Compliance will help your firm plan for future growth strategically, regardless of your area of expertise.

When you’re ready to put our knowledge to work for your future, call 1-888-229-1855 or contact Vigilant Compliance.

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Modified: November 7, 2018