Vigilant Compliance

Financial ServicesPennsylvania, United States51-200 Employees

Vigilant Compliance is a privately held financial services firm based in Chadds Ford, Pennsylvania, founded in 2004. It provides tailored, end-to-end compliance solutions for advisers, funds, and broker-dealers, including outsourced chief compliance officer arrangements, CCO support, advertising review, and mock SEC/FINRA examinations. The firm also assists with SEC/ERA/broker-dealer registrations, licensing for registered representatives, principal underwriting for registered funds, and FinOp services. Its clients cover private equity, hedge funds, closed-end funds, ETFs, mutual funds, RIAs, wealth managers, and other fund structures. As an independent, privately owned firm, it operates within the financial services compliance sector. The company has earned industry recognition through multiple awards and nominations for compliance advisory work in recent years.

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