Outsourcing Solutions

Outsourcing Solutions

Your team requires management support to meet your goals and protect your clients’ interests. Our outsourcing solutions in investment management provide you with the aid you need to excel. We offer assistance at every level personalized to meet your needs.

When you outsource with us, you get the experience and knowledge to grow your firm into the future. Whether you want to find more cost-effective measures or need to weather an organizational transition, harnessing the expertise of established professionals from Vigilant can reassure you during a difficult time. We can provide the guidance and outside perspective you may be missing to strengthen your decision-making and ensure you respect regulatory changes and developments that impact the industry.

Chief Compliance Officer (“CCO”)

The regulatory landscape changes and grows every day. By outsourcing your CCO, you allow your other employees to meet different needs within the company while enjoying the expertise contributed by an experienced CCO from Vigilant. Our candidates often have more than 10 years of experience and offer cost-effective solutions that keep your firm on track for the future.

Learn More

Advertising and Marketing Review

Your marketing campaigns must comply with regulations laid out by FINRA and the U.S. Securities and Exchange Commission (“SEC”). Using Red Oak Compliance Solutions, we can assist you with a range of advertising review compliance solutions. Our options include:

  • Developing red-flagged keywords to help you upgrade the language in your marketing materials.
  • Coordinating communications between us and your distributor and clients.
  • Training your marketing team to recognize potential compliance issues as they create new materials.

As your firm grows and you try to keep up with demand, it can feel challenging to maintain your compliance approval. We can move your firm’s marketing approval process forward.

Principal Financial Officer

The Principal Financial Officer (“PFO”), or treasurer, oversees the financial operations of your investment company, organizing your data, handling the finances and forecasting for future financial decisions. PFOs help maintain compliance with regulatory standards, and outsourcing the job can prove a cost-effective and practical way to make it through a transition or budgetary shortfall.

Mutual Fund President

Mutual fund presidents oversee strategies for financing, marketing, compliance and other areas related to the mutual fund. We can offer the leadership necessary to help a fund expand into new markets and thrive. We have experience with outsourcing presidents who guided mutual funds with more than $20 billion of assets under management.

Finance and Operations Principal ("FinOp")

You can meet your strategic goals using our outsourced FinOp solutions, allowing you to partner with an experienced Series 27 professional who can support your FinOp interests as well as those of your firm and clients. We can assist in avoiding the disciplinary fines and actions that come with regulatory violations, helping you stay current within the ever-changing field. Our professionals boast the qualifications and background you desire.


Secretarial support solutions help your business remain focused on maintaining the right information and enhancing your efficiency. An effective secretary knows what information is critical to regulators and can act as a gatekeeper with records and books. Our corporate secretarial candidates attend board and committee meetings and maintain the minutes along with other duties, including filing documents in line with regulatory standards. We can also aid during transitions or extended sick leaves.

Get Started With Vigilant Today

We can offer all levels of support, whether you need short- or long-term solutions. Outsourcing gives you the confidence to move forward, no matter the situation. You can enjoy a seamless addition to your team who respects the corporate culture and works within your system to look out for your future. Contact us today to request a proposal.