Scott P. Gill, Mba, Iaccp® Email and Phone Number
Scott P. Gill, Mba, Iaccp® work email
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Scott P. Gill, Mba, Iaccp® personal email
Scott P. Gill, Mba, Iaccp® phone numbers
Experienced compliance expert with strong audit and ongoing supervision experience, guru-level firm initial registration, documentation review and compliance consulting skills.
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Founder, Senior ConsultantSynergy Ria Compliance Solutions Jan 2021 - PresentA culmination of nearly 15 years of industry experience and countless engagements with Firm Owners and Chief Compliance Officers have sparked a cooperative and collaborative approach to RIA compliance program design and consultation. Providing proactive, responsive, and cost-effective compliance consulting services is paramount to what Synergy is all about!
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Senior Compliance ConsultantXy Planning Network Jan 2019 - Dec 2020Bozeman, Mt, UsRIA Compliance subject matter expert proficient in advising firms regarding their compliance processes, documentation and task management systems. Pioneer of regulatory navigation for monthly financial planning compliance services. -
Director Of ComplianceXy Planning Network Jan 2016 - Dec 2018Bozeman, Mt, UsThe XY Planning Network is the leading turnkey financial planning platform for fee-only financial advisors who want to serve their Gen X and Gen Y peers, providing comprehensive financial planning services for a monthly subscription fee and without product sales or asset minimums. The Network offers a virtual community for new and established financial advisors who want to serve a younger clientele, and provides its members compliance support services, marketing support, business tools and templates, and a wide range of technology solutions.
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Compliance OfficerCarolinas Investment Consulting Oct 2014 - Jan 2016Charlotte, North Carolina, UsAML, Suitability review, New Account Opening approval, Trade review, Business Continuity Planning, Correspondence review/approval, Email Surveillance, Audit Planning. -
Manager OperationsCarolinas Investment Consulting Dec 2013 - Oct 2014Charlotte, North Carolina, UsNew Account Opening, ACATs, ACH, Wire processingFINRA & SEC Compliance, Gathering & Updating Suitability dataTrading, Cash Management, Check Deposits and Disbursements.
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Senior Registered Client AssociateWells Fargo Advisors May 2012 - Dec 2013St. Louis, Missouri, UsSupported a book of business (400 Million) for Financial Advisors by maintaining accounting records of cashflows, placing trades, generating portfolio reports and executing money movements. Provide product knowledge apply financial expertise to identify banking, lending and investment solutions for clients. -
Registered Client Service AssociateJ.P. Morgan Mar 2010 - Apr 2012New York, Ny, UsAssisted clients with issues pertaining to banking and brokerage needs. Networked with other lines of business to create relationships and provide referrals. -
Registered Client Service AssociateE*Trade Financial Jul 2006 - Mar 2010UsAssisted corporate clients with Equity Compensation Solutions, including Administration and Technical support for Equity EdgeProcessed and Executed Stock Option Exercises, ESPP and Restricted Stock tradesWorked closely with transfer agents to ensure timely delivery of shares
Scott P. Gill, Mba, Iaccp® Skills
Scott P. Gill, Mba, Iaccp® Education Details
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University Of North Carolina At Chapel HillCommunication And Media Studies -
Keller Graduate School Of Management Of Devry UniversityGeneral
Frequently Asked Questions about Scott P. Gill, Mba, Iaccp®
What company does Scott P. Gill, Mba, Iaccp® work for?
Scott P. Gill, Mba, Iaccp® works for Synergy Ria Compliance Solutions
What is Scott P. Gill, Mba, Iaccp®'s role at the current company?
Scott P. Gill, Mba, Iaccp®'s current role is RIA Compliance Consultant, Entrepreneur, Innovator.
What is Scott P. Gill, Mba, Iaccp®'s email address?
Scott P. Gill, Mba, Iaccp®'s email address is sg****@****est.com
What is Scott P. Gill, Mba, Iaccp®'s direct phone number?
Scott P. Gill, Mba, Iaccp®'s direct phone number is +170464*****
What schools did Scott P. Gill, Mba, Iaccp® attend?
Scott P. Gill, Mba, Iaccp® attended University Of North Carolina At Chapel Hill, Keller Graduate School Of Management Of Devry University.
What skills is Scott P. Gill, Mba, Iaccp® known for?
Scott P. Gill, Mba, Iaccp® has skills like Investments, Series 7, Portfolio Management, Series 63, Finra, Series 24, Securities, Wealth Management, Risk Management, Financial Services, Series 65, Series 53.
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