Compliance Solutions for Investment Advisers

Our Team

Scott Gottlieb, President and CEO

As President and CEO, Scott Gottlieb brings to U.S. Compliance Consultants more than fifteen years of experience in developing, implementing and monitoring compliance programs for investment advisers, hedge funds and broker-dealers. Prior to founding U.S. Compliance Consultants, Mr. Gottlieb served as President of both Massachusetts Compliance Consultants and Connecticut Compliance Consultants. Based on his vision for a simplified model of providing compliance consulting solutions, these regional companies emerged as a leading provider of compliance consulting services to registered investment advisers, recognized throughout the industry for its dedication to client service. Mr. Gottlieb also practiced corporate and securities law in the New York and Los Angeles offices of Kelley, Drye & Warren LLP, an international law firm, as well as with various state-based law firms. During the course of his legal career he advised clients on securities regulation, investment adviser compliance, broker-dealer regulatory issues, initial public offerings, private placements, venture capital financings and international joint ventures.

Mr. Gottlieb is an honors graduate of Tufts University and the University of Connecticut School of Law. Prior to law school, Mr. Gottlieb maintained his Series 7 license as a Financial Consultant with Merrill Lynch & Co., Inc. Mr. Gottlieb is a member of the National Society of Compliance Professionals; the Society of Corporate Compliance and Ethics; the Association for Practical and Professional Ethics; and the American Bar Association’s Center for Professional Responsibility.

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