Guy Scott Email & Phone Number

Orlando, Fl, Us

Bethesda, Maryland, Us

 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 matters regarding the investment advisers and investment funds pursuant to the Investment Advisers Act of 1940 and Investment Company Act of 1940 Educates and trains employees on strict adherence to the Code of Ethics and reporting requirements Performs annual compliance reviews and employee quarterly and annual certifications, including Personal Securities Transactions, Political Contribution, Gifts and Entertainment, Outside Business Activities and other disclosures Provides ongoing compliance support and guidance to the former CCO and Member Partners in managing their day-to-day compliance program Instrumental in documenting wire transfer procedures and control measures on the protection of client capital in the firm Performs quarterly risk assessments to identify compliance gaps in the compliance program and recommend enhancements to strengthen controls Conducts AML and KYC screening as part of onboarding process for new fund investors

Menlo Park, California, Us

 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 systems and applications to determine client profile and conduct open-source media searches and negative news checks Completed AML Dispositions writing the SAR narrative  Recognized within the team as a high performer in closing NFA and SAR case narratives

 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 employees  Filed the annual amendment Form ADV and Part 2A for the investment managers that included all related disclosures Managed compliance risk assessment processes for the investment managers and investment funds related to Rule 206(4)-7 and Rule 38a-1 annual compliance review. Prepared and communicated annual compliance reports, including compliance testing results and recommendations, to senior management and Board of Directors.  Utilized the trading platform system to monitor employees’ personal trades, financial insiders’ pre-clearances, certifications and disclosures.  Developed and implemented written policies and procedures on domestic and international wire transactions (Treasury Group), OFAC and AML screening on potential investors (domestic and international) to the private investment funds. Treasury Group maintained 100 percent wire transaction accuracy rate because of enhance procedures and testing.  Participated in one (1) SEC examination that reported no material deficiencies in the compliance program

 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 and other US regulatory requirements.  Performed financial and compliance due diligence on prospective RIA acquisitions that contributed to significant clients AUM growth.  Ensured proper compliance review; sign-off and quality controls of all compliance testing for clients. Participated in eight (8) SEC examinations that reported no material deficiencies in compliance programs.

Us

 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, and Food and Beverage) operations.  Identified, documented, and communicated significant process improvements, procedures and areas of key business risk that impact LOB operations.  Conducted investigations of theft, fraud, and merchandise shrink through the use of interviews, video review, data analysis, and other means.  Presented (oral and written) reports on project findings, risks, and enhancements to improve efficiency and effectiveness of operations. Merchandise shrink decreased sixty percent across WDW property.  Performed internal audits and tests of internal controls (SOX) on the SAP system consistent with process narrative and risk control matrix.  Managed internal control reviews on WDW Unclaimed Property Unit to ensure compliance with operating procedures and guidelines.

 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.  Reviewed employees’ personal trades to determine any prohibited transactions against proxy votes and the restricted and blackout lists.  Enforced insider-trading restrictions on approximately 450 employees, including the Board of Directors, by monitoring personal trading and reporting. Guided the compliance program through two (2) SEC examinations that reported no material deficiencies.

Bachelor Of Science, Public Affairs Management, Economics

Bachelor Of Science, Business Management, Investment Finance

Mba Graduate Program