Vice President
Current
Jan 2020 - Present
AeroLeads people directory · profile
Scott Gilbert Email & Phone Number
Vice President, Risk Monitoring at FINRA (Financial Industry Regulatory Authority)
at
FINRA
1 work email found
@finra.org
LinkedIn matched
✓ Verified May 2026
4 data sources
Profile completeness 100%
Current company
Role
Vice President, Risk Monitoring at FINRA (Financial Industry Regulatory Authority)
Location
New York, New York, United States
Company size
Who is Scott Gilbert? Overview
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Quick answer
Scott Gilbert is listed as Vice President, Risk Monitoring at FINRA (Financial Industry Regulatory Authority) at FINRA, a company with 4865 employees, based in New York, New York, United States. AeroLeads shows a work email signal at finra.org and a matched LinkedIn profile for Scott Gilbert.
Scott Gilbert previously worked as Vice President at Finra and Vice President, New York District Director at Finra (Financial Industry Regulatory Authority). Scott Gilbert holds Doctor Of Law - Jd, Law from New York University School Of Law.
Company email context
Email format at FINRA
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{first}.{last}@finra.org
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Profile bio
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.
Listed skills include Leadership, Writing, Research, Public Speaking, and 1 others.
Current workplace
Scott Gilbert's current company
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Finra
9 roles · 36 years
Scott Gilbert work experience
A career timeline built from the work history available for this profile.
Vice President, New York District Director
CurrentResponsibility for Department of Member Supervision, New York District’s examination and risk monitoring programs. Manage approximately 200 employees. Oversee all aspects of Member Regulation sales practice examinations including strategy, execution, and disposition. Review broker-dealers in the financial industry for compliance with FINRA rules and.
Apr 2019 - Present
Senior Director
Sep 2013 - Apr 2019
Executive Director And Head, Wealth Management Advisor Group Compliance
Responsible for all aspects of compliance for wealth management organization of approximately 7,000 financial advisors. Work closely with Chief Compliance Officer and General Counsel on significant compliance initiatives and issues affecting broker-dealer. Provide advice to senior management regarding litigation, regulatory and reputational risk with.
2011 - 2013
~2 yrs
Executive Director And Senior Associate General Counsel
Director and Senior Associate General Counsel (2004-2006)Executive Director and Senior Associate General Counsel (2006-2011)Head, Special Review Group and Subpoena Group (2006-2011)Responsible for broker-dealer program of internal investigation and disciplinary recommendations with respect to employee misconduct. Managed team of investigating attorneys and.
2004 - 2011
~7 yrs
Vice President, Senior Counsel
Merrill Lynch
Vice President, Senior CounselGlobal Regulatory Matters and Internal Reviews, Office of General CounselResponsible for investigating allegations of employee misconductand sales practice complaints, and recommending appropriate disciplinary action. Provided counsel to business units with regard to evaluating employee conduct and related regulatory and.
2000 - 2004
~4 yrs
Trial Counsel, Division Of Enforcement
New York Stock Exchange
Responsible for enforcing rules of securities self-regulatory organization and federal securities laws. Investigated customer complaints. Prosecuted disciplinary actions, including drafting charge memoranda, affidavits, motions and briefs. Negotiate settlements with respondents. Tried contested matters before internal hearing panel, including presentation.
1995 - 2000
~5 yrs
Litigation Associate
Bizar & Martin, Llp
1992 - 1995
~3 yrs
Litigation Associate
Dewey Ballantine
1990 - 1992
~2 yrs
Team & coworkers
Colleagues at FINRA
Other employees you can reach at finra.org. View company contacts for 4865 employees →
HO
Helen Okorie
Colleague at Finra
Nigeria, Nigeria
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LC
Leslie Carter
Colleague at Finra
Washington DC-Baltimore Area, United States
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EM
Eric Mudd
Colleague at Finra
Baltimore, Maryland, United States, United States
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CS
Christian Sanfilippo
Colleague at Finra
Boca Raton, Florida, United States, United States
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SS
Stuart Smith
Colleague at Finra
Washington DC-Baltimore Area, United States
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PT
Patrick Tobin
Colleague at Finra
Kansas City Metropolitan Area, United States
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GA
Gabriela Aguero
Colleague at Finra
United States, United States
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PM
Paul Marcello
Colleague at Finra
New York City Metropolitan Area, United States
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J(
Jessica (Zahurak) Mcdaniel
Colleague at Finra
Baltimore, Maryland, United States, United States
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AH
Antwone Henderson
Colleague at Finra
Hyattsville, Maryland, United States, United States
View →
Helen Okorie
Colleague at Finra
Nigeria, Nigeria
View →
LC
Leslie Carter
Colleague at Finra
Washington DC-Baltimore Area, United States
View →
EM
Eric Mudd
Colleague at Finra
Baltimore, Maryland, United States, United States
View →
CS
Christian Sanfilippo
Colleague at Finra
Boca Raton, Florida, United States, United States
View →
SS
Stuart Smith
Colleague at Finra
Washington DC-Baltimore Area, United States
View →
PT
Patrick Tobin
Colleague at Finra
Kansas City Metropolitan Area, United States
View →
GA
Gabriela Aguero
Colleague at Finra
United States, United States
View →
PM
Paul Marcello
Colleague at Finra
New York City Metropolitan Area, United States
View →
J(
Jessica (Zahurak) Mcdaniel
Colleague at Finra
Baltimore, Maryland, United States, United States
View →
AH
Antwone Henderson
Colleague at Finra
Hyattsville, Maryland, United States, United States
View →
2 education records
Scott Gilbert education
Doctor Of Law - Jd, Law
Bachelor Of Arts - Ba, Political Science And Government
FAQ
Frequently asked questions about Scott Gilbert
Quick answers generated from the profile data available on this page.
What company does Scott Gilbert work for?
Scott Gilbert works for FINRA.
What is Scott Gilbert's role at FINRA?
Scott Gilbert is listed as Vice President, Risk Monitoring at FINRA (Financial Industry Regulatory Authority) at FINRA.
What is Scott Gilbert's email address?
AeroLeads has found 1 work email signal at @finra.org for Scott Gilbert at FINRA.
Where is Scott Gilbert based?
Scott Gilbert is based in New York, New York, United States while working with FINRA.
What companies has Scott Gilbert worked for?
Scott Gilbert has worked for Finra, Finra (Financial Industry Regulatory Authority), Ubs Financial Services Inc., Merrill Lynch, and New York Stock Exchange.
Who are Scott Gilbert's colleagues at FINRA?
Scott Gilbert's colleagues at FINRA include Helen Okorie, Leslie Carter, Eric Mudd, Christian Sanfilippo, and Stuart Smith.
How can I contact Scott Gilbert?
You can use AeroLeads to view verified contact signals for Scott Gilbert at FINRA, including work email, phone, and LinkedIn data when available.
What schools did Scott Gilbert attend?
Scott Gilbert holds Doctor Of Law - Jd, Law from New York University School Of Law.
What skills is Scott Gilbert known for?
Scott Gilbert is listed with skills including Leadership, Writing, Research, Public Speaking, and Critical Thinking.
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