#237 - Outside Compliance for RIAs with Scott Gottlieb of U.S. Compliance Consultants

Hosts Brad Wright and Kevin Williams are joined by Scott Gottlieb of U.S. Compliance Consultants.

Scott is President of U.S. Compliance Consultants, a full-service compliance consulting company that focuses exclusively on state and SEC-registered investment advisers. Scott founded U.S. Compliance Consultants in 2004. U.S. Compliance Consultants has been a preferred service provider for both Schwab and Raymond James almost since its founding and Scott has conducted multiple compliance seminars on a variety of topics for both firms.

Prior to founding US Compliance Consultants, Scott was a corporate and securities attorney at Kelly, Drye and Warren, an international law firm based in New York City.

He started out as a corporate attorney for Robinson & Cole, a regional law firm with offices in Boston, Hartford and Stamford, CT.

They discuss: - The job of an outside compliance consultant -State versus SEC compliance -Launching a new firm -What regulators are focusing on in 2025, including artificial intelligence

For more on U.S. Compliance Consultants: https://uscomplianceconsultants.com/

To contact Scott: seg@uscomplianceconsultants.com