Scott Y. Email & Phone Number

California, United States

California, United States

Carlsbad, California, Us

- Supervisor of two Investor Relations associates, overseeing 14 advisory fund complexes comprised of both on and offshore PE capital:- Management of all advisory client and limited partner (LP) engagement matters, including in-depth KYC / AML due diligence reviews and refreshes, related invoice creation, and remittance follow-ups, as well as periodic status updates across each complex.- Streamline operational risk mitigation processes between multiple vendor systems, internal andsecure external file architectures, and all staff members efforts to ensure business continuity.- Capital call and redemption liaison between the advisory client, legal counsel, and fund administration teams.- Training of direct reports and colleagues alike, in addition to educating clients and their investors on CIMA-specific private fund, LP, and GP requirements.

- Advisor to both FinTech start-up and traditional financial services executives.- Project manager who interviewed, vetted, and demoed numerous service provider offerings for a new technology stack buildout.

San Francisco, California, Us

- Manager of four professionals across three time zones within the transfer agent, broker-dealer, and corporate compliance functions of the firm, supervising all daily work and regularly mentoring each team member.- Regulatory subject matter expert for the Executive, Strategy, Business Development, Client Delivery, Operations, Compliance, Risk, Procurement, Product & Engineering, and People Team business units.- Created, curated / procured, and administered both live and web-based compliance training (AML, Conflicts of Interest ("COI"), Anti-bribery & Corruption, Insider Trading, Harassment Prevention, and Intro. to Legal & Compliance) for 2,200+ staff in 7 countries.- Systematized all outside business activity (“OBA”) reporting and the corresponding COI project launch.- Systematized and managed the fingerprint processing of 350+ staff in 7 countries to FINRA / SEC.- VC & PE compliance operations partnership liaison for Y Combinator, ICONIQ Capital, TechStars & GIC.- SEC Exempt Reporting Advisor project manager: diligenced filing types, drafted initial procedures and the Form ADV, presented findings to the Strategy BU & Executive Teams for launch consideration.

Los Angeles, California, Us

- Hired to establish initial regulatory systems by former supervisor / CCO at Brex.- Advisor and regulatory project manager to the Founding Executive team on both the framework and legal formation of its broker-dealer, registered investment advisor, and the related client-facing mobile application.

San Francisco, California, Us

- Hired to lead compliance for Brex’s new Cash Product by former supervisor / CCO at SharesPost Financial.- Conducted KYC / Client Identification Program (CIP) due diligence on and principally approved all new cash management account (CMA) client relationships: 450+ final approvals per month.- Project managed both the automation of New Account Approval and FINRA Customer Complaintreporting, which required cross-functional work with the Legal, Engineering, Client Experience,and Onboarding teams, as well as detailed quality control / data integrity audits of such efforts.- Principal regulatory resource for the Sales / Business Development, Operations, Compliance, Legal, Fraud Prevention, Product & Engineering, and People departments on a continuous basis.- Implemented and updated written supervisory, operational, AML, and business continuity plan procedures.- Initially registered, updated, and/or terminated the registrations of both the broker-dealer and its personnelwith the appropriate business lines, jurisdictions, and self-regulatory organizations (SROs).- Created interactive and gamified employee training, including a monthly compliance newsletter underscored by relevant trivia.

San Francisco, California, Us

Manager of one individual in the Compliance department and a key senior business strategy partner for the Executive, Sales, Operations, Technology, Legal, and Human Resources departments on a daily basis.

- Manager of two individuals in Operations and Client Services; supervised all RIA daily trading activity and regularly advised both the Executive team and all SEC registered personnel. - Finalized broker-dealer engagement letters and diligenced, invoiced, and processed corresponding private company securities transactions for accredited investors on both the buy and sell side.

Directly advised and supported the Executive team during a four-month, C-level management transition in order to ensure full business continuity.

Plantation, Fl, Us

Branch Manager & Broker-dealer Principal; Manager of one individual in Operations and Team Leader of two individuals in Institutional Relationship Management.

Greenwich, Ct, Us

New York, Ny, Us

Newark, Nj, Us

Washington, District Of Columbia, Us

Washington, Dc, Us