Scott Gilbert
Vice President at Finra
Based in New York, United States
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Seniority
Vp
Department
General Business & Management
Location
New York
Industry
Financial Services
Company size
6.1K
Contact information
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s•••••••@finra.org
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Background
About Scott Gilbert
I have devoted my career to investor protection as a regulator and in-house Legal and Compliance professional. I am currently responsible for Risk Monitoring for the Large Diversified Firm Group at FINRA. I was previously Head of the New York District Office there. As Head of Wealth Management Advisor Group Compliance at UBS I had responsibility for Compliance policies and advice relating to all aspects of the wealth management business, including field supervision, home office operations, private wealth management, and recruiting. As an in-house attorney at UBS and Merrill Lynch, I conducted and managed hundreds of corporate internal investigations and disciplinary actions. I have over 12 years of managerial experience and 5 years of litigation experience in private practice with a focus in banking and securities litigation. I have been a panelist and featured speaker at numerous industry conferences and events, including FINRA and SIFMA conferences.
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