Scott Gottlieb, President
As President, Scott Gottlieb brings to U.S. Compliance Consultants more than twenty years of experience in developing, implementing and administering compliance programs for various types of investment managers. Mr. Gottlieb has served as an outsourced Chief Compliance Officer for SEC- and state-registered investment advisory firms as well as unregistered private funds, family offices, Fortune 500 corporations and cutting-edge FinTech companies.
Prior to founding U.S. Compliance Consultants, Mr. Gottlieb practiced corporate and securities law in the Stamford (CT) and New York offices of Kelley, Drye & Warren LLP, an international law firm, as well as with various regional 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.