Compliance, Outsourcing & Investment Management Consulting Solutions in Texas

Texas Compliance Solutions

With each passing year, staying in front of changing federal compliance rules and regulations becomes more challenging. If your Investment Adviser or Broker Dealer requires innovative support from an experienced and sophisticated industry veteran, contact Vigilant.

Vigilant is a leading Compliance Consulting Firm that employs seasoned professionals from the legal, financial and accounting disciplines, and we can provide your Firm with the specific solutions that meet your precise needs.

Sophisticated Solutions for Better Decisions

You’ve worked hard to develop a strategic plan that protects the wealth of your clients and assures your firm’s continued growth. Industry leaders from around the globe depend on Vigilant for a wide range of solutions, from Outsourced CCO Support Services to Broker Dealer Compliance Solutions.

With experts in New YorkPhiladelphiaTexas, Pittsburgh, and Metro Washington, D.C., Vigilant is well-positioned to provide you and your employees with a customized compliance program and expert consulting services that are needed to manage the complex regulatory environment. With Vigilant, our solutions will focus your mind on more important matters.

Vigilant provides:

  • Chief Compliance Officer Solutions. Let Vigilant develop and implement policies and procedures that will position your Firm for success well into the future. A glimpse into the areas Vigilant covers include:
    • Testing your existing compliance procedures
    • Completing due diligence
    • Preparing annual reports
    • and much more.

Our Chief Compliance Officers have over 500 years of relevant industry experience.

  • RIA Registration Solutions. If you plan to launch a new Investment Advisory Firm, Vigilant can help you build a compliance program that contains best in class compliance practices. In today’s strict regulatory environment, there is no room for error — and Vigilant will assure your policies and procedures meet or exceed current regulations.
  • Mock SEC Exam Solutions. Vigilant can help you and your employees prepare for SEC Examinations.
  • Investment Adviser Training.  Vigilant will assess your practices, develop new approaches and train your team to help avoid potential regulatory problems from arising.

View all Compliance Solutions

Custom Solutions for Your Operational Challenges & Growth Goals

Vigilant tailors sophisticated compliance solutions for changing regulatory challenges. Prepare your firm in Texas for a more robust compliance program by contacting Vigilant for a consultation today.