Compliance Streamlined.

VigilantCS is a cloud-based compliance platform that enables financial services firms to manage staff regulatory obligations, reducing risk and increasing efficiency.

Securities Firms

Compliance is a particular challenge for smaller firms, such as boutique dealers and specialized portfolio managers. The VigilantCS platform enables you to focus on your core business by providing your Chief Compliance Officer or external consultants an efficient solution for the automation of routine tasks.

Mid-sized Wealth Managers

The competitive landscape and regulatory changes have especially challenged mid-sized wealth managers as operating costs have increased.

While the twin benefits of reducing compliance costs by up to 20% and increasing adherence to regulations may seem like wishful thinking, VigiliantCS delivers on both counts with the power of automation.

Large-scale Integrated Firms

Integrated firms under the auspices of Basel III will soon be required to quantify staff conduct risk in determining capital requirements.

VigilantCS ushers in a new era of compliance that enables you to mitigate staff conduct risk through preventive action by tracking and analyzing activities to pinpoint areas for improvement.

Our easy-to-use solution enables you to track the progress of individual staff members through the compliance lifecycle, enhancing controls and accountability.

  • A corporate and staff registry: Registered and non-registered staff regulatory information is digitized and centrally housed.
  • Regulatory disclosure management: Updates are automated, ensuring that regulatory filings are made in a timely manner.
  • Continuing education tracking: Employees can manage their continuing education obligations to maintain licenses and designations.
  • Staff personal trading compliance with pre-trade automated approvals and reviews
  • Incident and complaint reporting: Centralized reporting makes it easier to evidence action taken and build know-your-employee analytics.
  • Social media account disclosure monitoring
  • Audit functionality

VigilantCS provides benefits to all key constituencies involved in meeting staff regulatory requirements, from individual staff members, officers and directors.

Staff DIY

VigilantCS makes it easy for employees to stay on top of regulatory disclosures, providing peace of mind for them and their firm. Our detailed disclosure module includes more than 20 fields required by regulators and provides staff the opportunity and ease of updating information through a user-friendly interface. Real-time staff updates make the yearly attestation process more robust and easily managed by compliance.

Support for Outsourcing

Many firms seek to outsource some or all of their compliance efforts in order to reduce costs and stay on top of best practices. VigilantCS accommodates firms using an outsourced or in-house model and everything in between.

A Centralized Hub

With VigilantCS, staff-related compliance matters are in one place, improving individual accountability and enhancing compliance efficiency. No more hopping between applications for regulatory disclosures, continuing education, personal trading, attestations, social media declarations, and other disclosures. VigilantCS brings it all together in a centralized hub.

New requirements, no problem

With staff accustomed to using VigilantCS as their central hub for all things compliance, they will learn of any new requirements quickly and efficiently, enabling firms to implement changes expeditiously.

Questions about getting started? Drop us a line to find out more!