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

Wicked Pissah Podcast

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3M ago 52:47

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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: [email protected]

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