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Guy Scott Email & Phone Number
Chief Compliance Officer
at
Pennington Partners & Co.
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✓ Verified May 2026
3 data sources
Profile completeness 86%
Current company
Role
Chief Compliance Officer
Location
Orlando, Florida, United States
Company size
Who is Guy Scott? Overview
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Quick answer
Guy Scott is listed as Chief Compliance Officer at Pennington Partners & Co., a company with 2 employees, based in Orlando, Florida, United States. AeroLeads shows a matched LinkedIn profile for Guy Scott.
Guy Scott previously worked as Mid - Level AML Investigator at Protiviti and Senior Compliance Manager at American Capital. Guy Scott holds Bachelor Of Science, Public Affairs Management, Economics from Michigan State University.
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Pennington Partners & Co.
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Profile bio
About Guy Scott
Collaborative compliance professional with the ability to interpret and advise on a broad range of regulatory compliance matters and corporate governance best practices. Possess ability to reduce areas that promote conflict of interest and utilizes thorough understanding of federal rules and regulations. Builds strong relationships and manages projects that promote efficiency. Experienced in SEC examinations and communication with regulators. Roles:Chief Compliance OfficerSenior Financial AnalystSenior Compliance ManagerConsultantProficiencies Microsoft Office, SunGard Protegent Surveillance System (trade and account activity reviews), Fidelity DBS Platform, Fidelity DSW Platform, SMARSH (email reviews), Thomson-Reuters World-Check, FINRA Web CRD/IARD System, LexisNexis, Ovation, SAS Anti-Money Laundering 6.3, IBM Lotus Notes Experience:Publicly Traded CompanyPrivate Equity FirmHedge Fund ManagementRegistered Investment Advisers Asset ManagementBlue Sky Laws Results:Developed Comprehensive Compliance ProgramsEliminated Compliance Risks Improved Financial Compliance Effectiveness & EfficiencyReduced Conflicts of InterestAchieved High SEC Route Examination Pass RateLicensure:FINRA Series 63
Current workplace
Guy Scott's current company
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Pennington Partners & Co.
7 roles
Guy Scott work experience
A career timeline built from the work history available for this profile.
Chief Compliance Officer
Current Served as Deputy CCO and Principal Compliance Consultant to Pennington and its affiliates Manages all aspects of the compliance program pursuant to federal securities laws Prepares and files Form ADV Part I, Part 2A, Part 3, CRS, Form D, Form PF and other regulatory filings related to the investment advisers and investment funds Advise on compliance.
Feb 2017 - Present
Mid - Level Aml Investigator
Performed investigations and transactional reviews on banking clients for AML activity Collected relevant data and additional information necessary to the investigation Reviewed and analyzed data to determine if the alerted transactions were No Further Action (NFA) or Suspicious Activity Report (SAR) in writing the narrative Utilized TD Bank internal.
Sep 2019 - Jan 2020
Senior Compliance Manager
Provided training on Code of Ethics and Conduct (personal trade accounts, gifts and entertainment, political contributions, and outside business interests, conflicts of interest, and inside information) and increased compliance awareness through training on Advisers Act rules and content. Responsible for the AML certifications of approximately 250.
Jun 2014 - Jan 2017
Principal Consultant
Guy Scott Consulting, Llc
Provided assistance for new compliance support and solutions service provider to RIAs. Developed, implemented, and maintained robust compliance programs to ten (10) investment advisory clients Consulted CCOs on regulatory compliance matters, fiduciary responsibilities, and permissible activities in accordance with the Investment Advisers Act of 1940.
Mar 2005 - Jun 2014
Senior Financial Analyst
Performed process and data analysis to advise and assure Line of Business (LOB) and Segment level of compliance with Walt Disney World (WDW) Operating Guidelines, adequacy of controls, efficiency and effectiveness of operations. Developed enhancements and strengthened internal controls for WDW LOB business groups (Recreation, Merchandise, Ticketing.
Jul 2006 - Dec 2007
Chief Compliance Officer
Institutional Shareholder Services
Developed, implemented, and maintained written policies and procedures for corporate governance firm registered as a pension fund consultant with the SEC. Created monitoring system that provided for detection and reporting on compliance and potential conflicts of interest matters. Instrumental in alleviating any perceived conflicts of interest. .
Apr 1998 - Oct 2004
3 education records
Guy Scott education
Bachelor Of Science, Public Affairs Management, Economics
Michigan State University
Bachelor Of Science, Business Management, Investment Finance
University Of Maryland Global Campus
Mba Graduate Program
Marymount University
FAQ
Frequently asked questions about Guy Scott
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What company does Guy Scott work for?
Guy Scott works for Pennington Partners & Co..
What is Guy Scott's role at Pennington Partners & Co.?
Guy Scott is listed as Chief Compliance Officer at Pennington Partners & Co..
Where is Guy Scott based?
Guy Scott is based in Orlando, Florida, United States while working with Pennington Partners & Co..
What companies has Guy Scott worked for?
Guy Scott has worked for Pennington Partners & Co., Protiviti, American Capital, Guy Scott Consulting, Llc, and Walt Disney Parks & Resorts.
Who are Guy Scott's colleagues at Pennington Partners & Co.?
Guy Scott's colleagues at Pennington Partners & Co. include Julianne Miles.
How can I contact Guy Scott?
You can use AeroLeads to view verified contact signals for Guy Scott at Pennington Partners & Co., including work email, phone, and LinkedIn data when available.
What schools did Guy Scott attend?
Guy Scott holds Bachelor Of Science, Public Affairs Management, Economics from Michigan State University.
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