Scott Y. personal email
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Hello, and thanks for stopping by. If we're not already “linked,” please consider changing that by sending me a connection request.A bit about me: I'm a trusted Financial Services professional with expertise in the following areas: People Management and Team Development, Client Services, Investor Relations, Business Compliance Review and Enterprise Risk Assessment, Policy and Procedure Creation, Controls Testing, Employee Training and Continuing Education, Know Your Customer (KYC) and Enhanced Due Diligence (EDD) Software Scaling Efforts, Outside Business Activity (OBA) Assessment and Conflict of Interest (COI) Review, New Client and Employee Onboarding, Family Office Relationship Management, and Traditional Prime Brokerage Operations.Additionally, I hold the following FINRA securities licenses: SIE, Series 4, 7, 14, 24, 63, 82, and 99.Lastly, I’m a Certified Anti-money Laundering Specialist (CAMS) as well as a California Notary Public.
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AdvisorStealth Ai StartupCalifornia, United States
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Senior Manager And Deputy Mlro, Investor Relations And Regulatory Services (Cayman Islands)Standish Management, LlcCalifornia, United States -
Senior Manager, Investor RelationsAlpha Alt Fund Services Nov 2023 - PresentCarlsbad, 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. -
Private Equity & Fintech Advisory ConsultantProject-Based Consulting & Advisory Services Jul 2023 - Dec 2023- 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.
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Director, Corporate ComplianceCarta Jun 2021 - Jul 2023San 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. -
Fintech Advisory ConsultantPrometheus Alternative Investments 2021 - 2021Los 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. -
Senior Compliance OfficerBrex Feb 2020 - Oct 2020San 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. -
Interim Cco / Senior Compliance OfficerSharespost (Acquired By Forge Global) Mar 2019 - Jan 2020San Francisco, California, UsManager 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. -
Chief Operations Officer & Chief Compliance OfficerSan Francisco Sentry Investment Group, Inc. Oct 2017 - Mar 2019- 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.
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Consultant, Interim CcoChurchill Capital Usa, Inc. Nov 2016 - Feb 2017Directly advised and supported the Executive team during a four-month, C-level management transition in order to ensure full business continuity. -
Director, Branch Manager - Prime Brokerage Services & Securities Lending ComplianceTradestation Oct 2010 - Sep 2016Plantation, Fl, UsBranch Manager & Broker-dealer Principal; Manager of one individual in Operations and Team Leader of two individuals in Institutional Relationship Management. -
Vice President – Prime Brokerage Operations & Client IntegrationWeeden Prime Services, Llc Jun 2009 - Oct 2010Greenwich, Ct, Us -
Avp - Prime Brokerage Services & Securities Lending ComplianceMerrill Lynch Apr 2007 - May 2009New York, Ny, Us -
AnalystPgim Quantitative Solutions May 2006 - Apr 2007Newark, Nj, Us -
ExaminerFinra (Formerly Nasd) Oct 2004 - May 2006Washington, District Of Columbia, Us -
Financial Analyst, Secret ClearanceUnited States Department Of Defense Jun 2003 - Oct 2004Washington, Dc, Us
Scott Y. Skills
Scott Y. Education Details
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University Of Missouri-Kansas CityEconomics Minor
Frequently Asked Questions about Scott Y.
What company does Scott Y. work for?
Scott Y. works for Stealth Ai Startup
What is Scott Y.'s role at the current company?
Scott Y.'s current role is Advisor.
What is Scott Y.'s email address?
Scott Y.'s email address is sf****@****ail.com
What schools did Scott Y. attend?
Scott Y. attended University Of Missouri-Kansas City.
What are some of Scott Y.'s interests?
Scott Y. has interest in Water Skiing, Snow Skiing, Long Distance Cycling, Personal Sport And League Play, Ice Hockey, Arts And Culture, Animal Welfare, Softball, Tennis.
What skills is Scott Y. known for?
Scott Y. has skills like Leadership, Alternative Investments, Series 63, Electronic Trading, Team Building, Lexisnexis, Anti Money Laundering, Securities Regulation, Market Data, Operating Systems, Microsoft Powerpoint, Dtcc.
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