Investment Adviser Compliance Services

When your firm needs comprehensive compliance solutions and services, turn to Vigilant Compliance. The professionals at Vigilant Compliance are the premier investment adviser consultants in the industry, and we provide innovative solutions to the most challenging compliance problems.

When your business joins forces with our investment adviser compliance firm, you and your clients will benefit from sophisticated strategies that protect your interests and position your company for strong growth. Compliance with the Investment Adviser’s Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933, and other Regulations takes careful analysis and planning—and Vigilant brings both to Investment Advisers.

investment adviser compliance consultants

Customized Solutions for Your Firm’s Culture

At Vigilant Compliance, we believe every financial firm needs compliance policies and procedures that complement the culture and address necessary regulations. This tailored approach leads top investment firms from around the globe to Vigilant Compliance, where our outsourced compliance solutions protect both profits and reputations.

With Vigilant’s 5 Step Matrix SystemSM, you can choose our whole Matrix of Services, or only those that service your needs, such as providing support services to your in-house CCO.

Vigilant’s 5 Step Matrix System

  • Conduct specialized meeting to determine your specific Compliance needs
  • Designate a VC Professional to serve as your Chief Compliance Officer
  • Prepare or Update your Investment Adviser Compliance Manual, Policies and Procedures
  • Prepare a Risk Matrix
  • Prepare and Maintain Fund Compliance Calendar
  • Conduct Compliance Review of All Critical Adviser Areas
  • Review of Marketing Materials for Compliance with SEC and FINRA Rules
  • Review and document Compliance with the SEC’s Required Areas of Portfolio Management, Trading, Safety of Assets, Personal Trading by Access Persons, Disclosure Accuracy, Brokerage & Soft Dollar Usage, Privacy, and Books & Records
  • Conduct Due Diligence of Service Providers
  • Testing of Compliance Program Areas
  • Conduct your Required Annual Compliance Training
  • Conduct Insider Trading Training
  • Conduct Required Code of Ethics Training
  • Train Employees on SEC Requirements Applicable to Specific Employee Areas
  • Prepare Quarterly Board Compliance Reporting Materials
  • Preparation of Annual SEC Rule 206 (4)-7 Report
  • Complete Form ADV Amendments and State Notice Filings
  • Prepare 13F Filings, 13G Filings, 13H Filings
  • Analyze Compliance Issues
  • Collect Supporting Documentation
  • Respond & Resolve SEC Inquiries and Examination

When you partner with Vigilant Compliance, our experienced professionals will:

  • Provide you with the services you need with our proprietary 5 Step Risk Matrix. Choose the services you need most, including outsourced Chief Compliance Officer services, development and implementation of policies and procedures, risk assessment and management, and more. Our Chief Compliance Officers each have more than 20 years of experience in the financial compliance field.
  • Assure your business stays in compliance. Vigilant Compliance can also help your business stay in compliance with complex industry regulations through periodic policy reviews, annual report preparation, SEC test preparation and more. Our compliance officers provide your business with the sophisticated advice and skills you need to meet or exceed existing SEC standards.
  • Conduct a specialized review that determines your specific compliance needs and selects a Vigilant Compliance professional to serve as your Chief Compliance Officer. We’ll also review your existing compliance manual and procedures, and design a Risk Matrix and Compliance Calendar that helps your business avoid regulatory headaches.
  • Compare your existing policies and procedures to SEC and FINRA rules. Vigilant Compliance can document compliance in areas such as portfolio management, trading, safety of assets, disclosures, brokerage and soft dollar usage, privacy and recordkeeping.
  • Perform required compliance training. Vigilant Compliance can perform employee training in required areas including compliance, insider trading, ethics and other employee-specific areas.
  • SEC Reporting and Response. Vigilant Compliance can complete and file all necessary 13F, 13G and 13H forms, in addition to SEC Rule 206 (4)-7 and ADV Amendments. We can also respond and resolve SEC inquiries and exams, including collecting supporting documentation.

Contact Vigilant Compliance Today

At Vigilant Compliance, we have the knowledge and skills you need to build a stronger future. Contact Vigilant Compliance or call 1-888-229-1855 and find out how we can help you protect your interests.