Our Mission

U.S. Compliance Consultants, LLC is an independent compliance consulting company dedicated to helping investment advisers simplify their compliance by providing high quality, professional and value-added solutions to complex regulatory challenges. We earn the relationship of being your trusted compliance advisor.

Our Company

Founded in 2004, U.S. Compliance Consultants offers customized registration and compliance services to investment advisers, hedge fund managers, family offices, private equity firms and other domestic and foreign investment managers. We limit the number of clients we work with so each client receives the maximum amount of attention and care. While other compliance consulting firms may view this as a flawed business model, we think the fact that the majority of our clients have been with us for over ten years speaks for itself.

Please contact us to find out more about how we can work with your firm.

Our Management

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.