Financial Compliance Consulting in Washington, D.C.
If your are located in Washington DC and need a compliance consulting firm that provides sophisticated advice tailored to your firm’s business and regulatory obligations, contact Vigilant Compliance. Vigilant Compliance is the global compliance consulting firm whose professionals bring diverse skill sets from the legal, compliance, accounting and financial services. When industry-leading best practices define your business’s culture, make Vigilant Compliance your Washington, DC, compliance consulting firm.
Compliance Strategies for Stronger Leadership
You expect your business to thrive under leadership that protects the interests of your clients, firm and associates. Vigilant Compliance works with the most innovative businesses in the world to craft sophisticated solutions to challenging problems. Whether your firm is brand new or well established, our team of consultants will tailor the plan that addresses your regulatory needs.
At Vigilant Compliance, we provide:
- Investment adviser and RIA registration services. Let Vigilant Compliance craft a compliance strategy that establishes an effective Compliance Program fit to your business model and compliance risk. Today’s challenging regulatory environment means your business must be ready with written policies and procedures on day one. Avoid fines and sanctions, and prepare for the future with Vigilant Compliance.
- CCO Support. Are you tired of wiring multiple hats? Does you firm not have adequate resources in place to support you in your role as CCO? Let Vigilant be your Compliance Staff. At Vigilant we provide our clients with the knowledge and support in fulfilling their duties as CCO. Whether you are engaging Vigilant to forensically examine an areas of complexity or a large volume of tidiest tasks, Vigilant has the resources and expertise to assist you in maintaining Compliance with regulatory requirements and firm policy.
- Outsourced CCO. If your firm requires a CCO, but you do not have qualified personnel on staff or the resources, ask us about outsourcing your firm’s CCO role to Vigilant. Vigilant Compliance can provide your firm with an experienced, qualified professional who will direct your compliance needs and create a sustainable Compliance Program that will meet and/or exceed regulatory requirements.
- Mock SEC testing services.Our team of Compliance experts can help your firm prepare for the likely event of an SEC Examination through our Mock SEC Exam services. If you are a newly registered investment adviser or you have not been examined in years, a Mock SEC Exam is great tool to gauge your firm’s preparedness and identify potential gaps in your Compliance Program.
- Adviser training. The responsibility to maintain compliant with SEC rules and regulations rests on the shoulders of all associates, not only the CCO. Vigilant Compliance can provide investment compliance training to all members of your team so your firm creates and sustains a culture where legal, ethical practices are the norm. Vigilant Compliance will help you develop written policies and procedures should your firm lack the required safeguards, and will ensure that you and your associates have the knowledge necessary to monitor your compliance with all applicable rules and regulations.
- Cybersecurity services. Cybersecurity is one of the biggest challenges faced by financial firms today. Vigilant Compliance can devise a cybersecurity solution that protects the assets and confidentiality of your firm and your clients, and protect you against breaches caused by third-party vendors.
- Custom tailored solutions depending on your specific need. Explore Vigilant Compliance’s 5 Step Matrix, which allows you the option to pick and choose the services your business needs most. Ask for a full compliance policy review, or request forensic services. Get help with required SEC filings, initial registration and developing a brand new compliance plan. Our consultants are ready to help you design innovative solutions to your specific issues.
The Compliance Consulting Firm Washington, DC, Depends On
Vigilant Compliance helps businesses build a solid foundation for success with strategic compliance solutions tailored to manage complex regulations. When your business needs world-class compliance advisory services, please contact Vigilant Compliance.
Call or contact us at 888-229-1855 to schedule your complimentary consultation.