Compliance Solutions

Compliance Solutions

With more than 18 years of experience providing compliance solutions to industry-leading investment advisers, Vigilant offers professional, dependable solutions to protect you and your clients. Our regulatory advisory solutions encompass a range of options, whether you need analysis, strategic planning or regulatory oversight.

We work with each client to determine your needs and see how our solutions can help. Perhaps you need an outsourced Chief Compliance Officer (“CCO”) or advertising compliance oversight to market your financial advisers. You can establish greater trust with your clients and reassure them that you have their best interests at heart when you choose Vigilant’s solutions.

Are you prepared to set yourself up for future growth? The decisions you make now can provide a platform for improvement. Consider the business consulting and compliance solutions available from Vigilant to strengthen and expand your financial firm.

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Fund/Distribution Solutions

Our fund and distribution solutions strengthen your commitment to your clients. We offer principal underwriting, registered representative and advertising review solutions designed to keep you in regulatory compliance. We can supervise representatives and sponsor security licenses, depending on your needs. You may also require recordkeeping or reviews to maintain compliance.

Our underwriting solutions can sponsor private placements and funds. With an advertising review, you can feel confident your marketing materials remain in compliance as you advertise your services. Use our guidance to help find ways to set your firm apart from competitors and strengthen your brand identity.

Compliance Solutions

Staying up to date on the latest compliance regulations when you have a company to run and clients to take care of can prove challenging. To make it easier, we offer compliance solutions that suit your individual circumstances. Clients and partners look for strict adherence to complex regulatory solutions as a hallmark of your reliability. They know they can trust you when you take the time, effort and expense to pursue them in the right way.

You need up-to-date compliance policies and personnel well-versed in the latest developments. Our team stays updated so you can concentrate on the issues that set you apart from other advisories. We can also provide mock exams to help you navigate an audit and prepare for regulatory checkups. We also offer training for your associates. Staying a step ahead can save you time and effort in the future.

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Outsourcing Solutions

Outsourcing your CCO and other duties may prove more practical than you could imagine. Our CCOs are trained to recognize needs and act on them. When we identify an area where we can assist, we inform you of the benefits and keep your interests top of mind throughout the process.

Our knowledge is unparalleled throughout the industry, and we build on our experience to benefit you. We have worked with industry leaders worldwide, giving us confidence that our outsourcing solutions can meet your high expectations. We also design our outsourcing solutions to fit your firm’s culture and history, encouraging seamless transitions.

Investment Management Consulting Solutions

Future growth remains a critical consideration for your investment management. We can help you increase your assets under management by assessing your firm’s growth plans and providing recommendations for modifications that can maintain your growth predictions.

We convey the latest industry insights from other leading investment firms to ensure you stay current and share market viewpoints to help you manage assets through challenging conditions. You can also count on us to optimize your advisers’ profitability.

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Get Started With Us Today

Staying within regulatory compliance is a critical part of winning business and setting your firm up for the future. Contact us today to request a personalized proposal on the many ways we can help you while protecting your interests.