Mission Statement
Our mission is to ease the regulatory burden of state and SEC registered investment advisers by simplifying the compliance process and providing the most personalized and technologically-advanced consulting services in the industry, affording advisers the confidence and peace of mind that all their compliance obligations are being met.
Our Difference
U.S. Compliance Consultants is a full-service compliance consulting firm offering a wide range of registration and compliance services to state and SEC registered investment advisers.
Quite simply, what makes our compliance services different is the incredible amount of personal attention we afford each of our clients. In fact, we limit the number of clients we will take on at any one time so that each investment adviser receives the high level of service they expect and deserve. Our philosophy is that the adviser with $10 million in assets under management requires the same high level of service and expertise as does the adviser managing $1 billion. At U.S. Compliance Consultants, we treat each and every client with the level of service they expect and the respect they deserve.
We understand that in most investment advisory firms, the person in charge of compliance often has multiple responsibilities. With so many different demands competing for your time, every hour that can be eliminated from the compliance process is one more hour you can devote to serving the needs of your clients. At U.S. Compliance Consultants, we provide investment advisers with compliance programs that are simple to use and simple to maintain. As a result, our clients spend less time on compliance and have fewer compliance problems.
State Compliance Experts
U.S. Compliance Consultants has a well-deserved reputation among investment advisers and compliance professionals alike as the “go to” consulting firm for state compliance issues. Indeed, Schwab Institutional requested that U.S. Compliance Consultants provide their affiliated investment advisers with a monthly compliance newsletter focusing exclusively on state compliance issues. We attribute our expertise to the company’s origins as an affiliated group of state-based compliance companies that were devoted primarily to the compliance issues of that particular state. The experience gained and relationships developed through our direct contact with state regulators affords U.S. Compliance Consultants both a unique insight into the special compliance concerns faced by state-registered investment advisers and a leg-up when it comes to navigating our clients’ through the maze of state rules and regulations.
Company Highlights
Company highlights include:
- Provides compliance consulting to clients advising on in excess of $160 billion
- Selected as a preferred provider by Schwab Institutional, Raymond James Financial Services, Scottrade Advisor Services, TD Ameritrade Institutional and Fidelity (pending spring 2010)
- Scott Gottlieb, President of U.S. Compliance Consultants, designated a compliance expert for AdvicePoint™, the online investment adviser community sponsored by Reuters, the global information company
- Scott Gottlieb, President of U.S. Compliance Consultants, selected to Participate in Schwab Institutional On-Line Advisor Community
Management
Scott Eric Gottlieb, President and CEO
As President and CEO, Scott Gottlieb brings to U.S. Compliance Consultants more than thirteen years of experience in developing, implementing and monitoring compliance programs for investment advisers, hedge funds and broker-dealers. Prior to founding U.S. Compliance Consultants, Mr. Gottlieb served as President of both Massachusetts Compliance Consultants and Connecticut Compliance Consultants. Based on his vision for a simplified model of providing compliance consulting solutions, these regional companies emerged as a leading provider of compliance consulting services to registered investment advisers, recognized throughout the industry for its dedication to client service. Mr. Gottlieb also practiced corporate and securities law in the New York and Los Angeles offices of Kelley, Drye & Warren LLP, an international law firm, as well as with various state-based law firms. During the course of his legal career he advised clients on securities regulation, investment adviser compliance, broker-dealer regulatory issues, initial public offerings, private placements, venture capital financings and international joint ventures.
Mr. Gottlieb is an honors graduate of Tufts University and the University of Connecticut School of Law. Prior to law school, Mr. Gottlieb maintained his Series 7 license as a Financial Consultant with Merrill Lynch & Co., Inc. Mr. Gottlieb is a member of the National Society of Compliance Professionals; the Society of Corporate Compliance and Ethics; the Association for Practical and Professional Ethics; and the American Bar Association’s Center for Professional Responsibility.
