Scott Derby

Scott Derby Email and Phone Number

ocala, florida, united states
Scott Derby's Location
Bridgeport, Connecticut, United States, United States
About Scott Derby

I have years of experience in legal/compliance roles and in drafting state legislation. A particular strength is writing and drafting of policies, procedures, legislation, and transaction documents. I have experience in general legal and compliance matters with a hedge fund. Experience drafting global policy standards for Barclays Investment Bank. Working knowledge of KYC and AML issues and requirements.

Scott Derby's Current Company Details
Kristina Derby Consulting

Kristina Derby Consulting

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Compliance
ocala, florida, united states
Employees:
3
Scott Derby Work Experience Details
  • Kristina Derby Consulting
    Marketing Specialist
    Kristina Derby Consulting Nov 2015 - Present
    Stamford, Ct
    • Improve client web pages for optimal search engine optimization• Researched sales intelligence solutions for a client company• Edited client company's web pages• Perform weekly Google Analytics analysis for a client firm• Attend webinars and provided analysis of the topics and discussion• Complete data entry projects, updating client and potential client lists and updating existing data• Created marketing titles for company-sponsored webinars
  • Barclays Investment Bank
    Global Policies Compliance, Avp (Consultant)
    Barclays Investment Bank Mar 2015 - Oct 2015
    Greater New York City Area
    • Drafted and edited high quality global and regional policy Standards for the Investment Bank• Supported the successful delivery of Investment Bank Standards through effective communication with key stakeholders and subject matter experts• Successfully ensured clear controls created and exist for Standards that detail “who” within the firm needs to do “what” to accomplish the conduct risk mitigation objectives of each Standard• Assisted in maintaining document pipeline and status… Show more • Drafted and edited high quality global and regional policy Standards for the Investment Bank• Supported the successful delivery of Investment Bank Standards through effective communication with key stakeholders and subject matter experts• Successfully ensured clear controls created and exist for Standards that detail “who” within the firm needs to do “what” to accomplish the conduct risk mitigation objectives of each Standard• Assisted in maintaining document pipeline and status timeline• Embedded enterprise risk framework in Standards to respond to identified conduct risk• Successfully met key milestones and deadlines for delivery of Standards• Researched regional rules and regulations (e.g. FINRA, SEC, FCA, APRA) for information needed for document creation and research projects• Developed and maintained a broad knowledge of the firm’s businesses and the regulatory framework in which it operates• Identified ways to improve document template language to better accomplish objectives• Successfully carried out duties to help ensure the firm was in full compliance with regulatory requirements and Barclays enterprise risk framework Show less
  • Sds Capital Partners, Llc
    Compliance (Consultant)
    Sds Capital Partners, Llc Dec 2010 - Feb 2014
    Greenwich, Ct
  • Sds Capital Partners, Llc
    Compliance Officer
    Sds Capital Partners, Llc Jan 2001 - Dec 2009
    Greenwich, Ct
    •Drafted and reviewed the investment fund’s financial transaction documentation and legal documentation, including but not limited to investment term sheets, securities purchase and sale agreements and related private placement documents, nondisclosure agreements, brokerage agreements, employee termination documents, and rule 144 documents.•Processed the firm’s regulatory filings, including Form 3s, Form 4s, Form 13Gs, Form 13Ds, and Form 144s with the S.E.C., and Form 4Cs with the… Show more •Drafted and reviewed the investment fund’s financial transaction documentation and legal documentation, including but not limited to investment term sheets, securities purchase and sale agreements and related private placement documents, nondisclosure agreements, brokerage agreements, employee termination documents, and rule 144 documents.•Processed the firm’s regulatory filings, including Form 3s, Form 4s, Form 13Gs, Form 13Ds, and Form 144s with the S.E.C., and Form 4Cs with the TSX.•Assisted with integration of prime brokerage and back office operations administration•Established and implemented written policies, procedures, and standards of conduct for the firm Show less
  • N.H. Office Of Legislative Services
    Legislative Attorney
    N.H. Office Of Legislative Services Oct 1998 - Jan 2001
    Concord, Nh
    •Drafted Bills, Constitutional Amendments, and Resolutions for the New Hampshire House and Senate•Proof read and made corrections and comments to the work of other legislative attorneys•Proof read and make corrections to New Hampshire Revised Statutes Annotated (R.S.A.s)•Worked whatever hours needed by the Office of Legislative Services during the extra busy periods, including the end of the primary bill drafting period (January) and end of the legislative session committee of… Show more •Drafted Bills, Constitutional Amendments, and Resolutions for the New Hampshire House and Senate•Proof read and made corrections and comments to the work of other legislative attorneys•Proof read and make corrections to New Hampshire Revised Statutes Annotated (R.S.A.s)•Worked whatever hours needed by the Office of Legislative Services during the extra busy periods, including the end of the primary bill drafting period (January) and end of the legislative session committee of conference period (late May or early June) Show less

Scott Derby Skills

Corporate Law Securities Investments Private Placements Finance Financial Services Equities Employment Law Due Diligence Securities Regulation Capital Markets Legislative Relations Mergers And Acquisitions Settlement

Scott Derby Education Details

Frequently Asked Questions about Scott Derby

What company does Scott Derby work for?

Scott Derby works for Kristina Derby Consulting

What is Scott Derby's role at the current company?

Scott Derby's current role is Compliance.

What is Scott Derby's email address?

Scott Derby's email address is s.****@****hoo.com

What is Scott Derby's direct phone number?

Scott Derby's direct phone number is +120349*****

What schools did Scott Derby attend?

Scott Derby attended Franklin Pierce Law Center, University Of New Hampshire.

What skills is Scott Derby known for?

Scott Derby has skills like Corporate Law, Securities, Investments, Private Placements, Finance, Financial Services, Equities, Employment Law, Due Diligence, Securities Regulation, Capital Markets, Legislative Relations.

Who are Scott Derby's colleagues?

Scott Derby's colleagues are Ashley Bostaph.

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