Compliance

Vigilant Compliance LLC.

Michael Swallow, CPA

Mr. Michael Swallow is a Director at Vigilant and has over 25 years serving in various senior leadership roles within the Financial Services industry. Michael has previously served as Managing Director and Head of Sterling Advisors, an affiliate of Truist Bank whereby he directed the strategy and day to day operations of the firm. Prior to that, he led the operations and administrative teams as Chief Administrative Officer for Sterling.

In addition, Michael served as both Chief Compliance Officer and Chief Financial Officer for affiliates of Susquehanna Bank. As Chief Compliance Officer, he directed the regulatory compliance effort and risk management process for a dually registered investment advisor and broker-dealer. As CFO, he led the accounting and financial reporting process for various Wealth Management entities including investment advisors, trust companies and a broker-dealer.
Michael holds a Bachelor of Science in Accounting from Drexel University and is a Certified Public Accountant (NJ). He holds the FINRA Series Licenses 7, 24, 27, 53, 57 and 66.

Contact Phone

(617) 535-9240

Promethos Capital

BOSTON