Associate General Counsel, Senior Vice President - Legal
Current
Aug 2021 - Present
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Scott Barber Email & Phone Number
Associate General Counsel, Senior Vice President - Legal at Focus Financial Partners
at
Focus Financial Partners
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Current company
Role
Associate General Counsel, Senior Vice President - Legal at Focus Financial Partners
Location
Short Hills, New Jersey, United States
Who is Scott Barber? Overview
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Scott Barber is listed as Associate General Counsel, Senior Vice President - Legal at Focus Financial Partners at Focus Financial Partners, based in Short Hills, New Jersey, United States. AeroLeads shows a matched LinkedIn profile for Scott Barber.
Scott Barber previously worked as Associate General Counsel, Senior Vice President - Legal at Focus Financial Partners and Head of Wealth Management Compliance at Bny Mellon Wealth Management. Scott Barber holds Doctor Of Law - Jd from The George Washington University Law School.
Company email context
Email format at Focus Financial Partners
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Focus Financial Partners
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Profile bio
About Scott Barber
Regulatory counsel with experience across the financial services industry counseling registered investment advisers, broker-dealers and banks. Dedicated professional with a proven track record of creating and building effective compliance programs. I work collaboratively with my colleagues and enjoy being part of an innovative and successful team.
Listed skills include Global Custody, Global Regulatory Compliance, Coaching And Mentoring, Business Networking, and 1 others.
Current workplace
Scott Barber's current company
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9 roles
Scott Barber work experience
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Head Of Wealth Management Compliance
Led compliance function for wealth management and advised senior management on fiduciary, investment management and consumer compliance issues. Acted as Chief Compliance Officer for a registered investment adviser and a registered investment company. Managed a licensing and supervisory program for dual-hatted registered representatives of a broker-dealer.
Dec 2011 - Apr 2021
Managing Director, Compliance
Developed compliance program for Wealth Management business. Promoted to Head of Wealth Management Compliance in 2011.
Mar 2008 - Apr 2021
Senior Vice President - Compliance
U.S. Trust Corporation, Bank Of America Private Wealth Management
Resolved regulatory issues pertaining to the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940. Chief Compliance Officer for registered broker-dealer. Developed and implemented written supervisory procedures and reviewed marketing materials. Provided compliance oversight for institutional and capital.
Apr 2005 - Mar 2008
Managing Director - Compliance
Voya Financial (Ing Investment Management)
Resolved compliance and legal issues for onshore and offshore hedge funds, wrap fee programs, mutual funds, separately managed accounts and private equity funds. Acted as Chief Compliance Officer and AML Compliance Officer for registered broker-dealer.
Nov 1999 - Apr 2005
Equity Compliance Officer
Bnp Paribas (Paribas Corporation)
Advised capital markets personnel on cross-border issues pertaining to sales, research and syndicate activities.
May 1998 - Nov 1999
Executive Director - Compliance
Ubs Ag (Swiss Bank Corporation)
Prepared ethical wall procedures and conducted training for corporate finance, trading and research personnel. Reviewed research materials for adherence to New York Stock Exchange standards.
Aug 1993 - May 1998
Corporate Counsel - Office Of The General Counsel
Alliance Bernstein (Sanford C. Bernstein & Co., Inc.
Drafted, negotiated and reviewed investment management agreements. Prepared regulatory filings including Forms ADV and BD for a dually-registered broker-dealer and investment adviser. Conducted annual training meetings for registered representatives.
Feb 1991 - Aug 1993
Corporate Associate
Katten (Rosenman & Colin)
Participated in securities transactions including registered offerings and private placements. Represented investment banks, broker-dealers and investment advisers. Researched and drafted memoranda on securities issues and prepared compliance manuals.
Oct 1989 - Feb 1991
2 education records
Scott Barber education
Doctor Of Law - Jd
The George Washington University Law School
Bachelor Of Business Administration - Bba, Accounting
Emory University - Goizueta Business School
FAQ
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What company does Scott Barber work for?
Scott Barber works for Focus Financial Partners.
What is Scott Barber's role at Focus Financial Partners?
Scott Barber is listed as Associate General Counsel, Senior Vice President - Legal at Focus Financial Partners at Focus Financial Partners.
Where is Scott Barber based?
Scott Barber is based in Short Hills, New Jersey, United States while working with Focus Financial Partners.
What companies has Scott Barber worked for?
Scott Barber has worked for Focus Financial Partners, Bny Mellon Wealth Management, Bny Mellon, U.S. Trust Corporation, Bank Of America Private Wealth Management, and Voya Financial (Ing Investment Management).
How can I contact Scott Barber?
You can use AeroLeads to view verified contact signals for Scott Barber at Focus Financial Partners, including work email, phone, and LinkedIn data when available.
What schools did Scott Barber attend?
Scott Barber holds Doctor Of Law - Jd from The George Washington University Law School.
What skills is Scott Barber known for?
Scott Barber is listed with skills including Global Custody, Global Regulatory Compliance, Coaching And Mentoring, Business Networking, and Data Privacy.
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