Scott is a Senior Principal Consultant on the Investment Adviser division delivery team at ACA Global, a leading governance, risk and compliance advisor in financial services. He serves as Verger’s outsourced Chief Compliance Officer. He works closely with the Audit and Compliance Committee of Verger’s Board of Managers and the Chief Operating Officer to develop, implement, and monitor policies necessary for compliance with state and federal law as well as the regulatory requirements of the firm.
Scott was a director at Foreside Financial Group prior to its merger with ACA Global. Before Foreside, Scott served as a consultant with the regulatory consulting firm Armory Professional Services. In that role, he created customized materials and programs such as written supervisory procedures, codes of ethics, business continuity plans, training materials, investment management and subadvisory agreements, solicitor agreements, and AML compliance programs. He also designed audit modules and programs and conducted mock regulatory audits and inspections. He served as contact point for on-site and remote interactions with SEC, FINRA, NFA, and U.S. state examination staff. In addition, Scott produced and administered internal training for clients tailored to their business activities and coordinated regulatory filings.
Scott has also served as Vice President for Ares Management and CCO for AREA Property Partners, as well as had leading roles with Capital Markets Compliance, LLC, Securities Network LLC, World Group Securities, Inc., and NASD Regulation, Inc.
Scott earned his Bachelor of Science degree in Business Administration and Finance from Berry College. Licensing/examinations: Series 7, 24, 66, 79, and SIE.