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 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.

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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.
  • 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.
  • Investment 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.
  • 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.