Mission Statement
Our mission is to ease the regulatory burden of state and SEC registered investment advisers by simplifying the compliance process and providing them with the confidence and peace of mind that all their compliance obligations are being met.
In the News
U.S. Compliance Consultants Opens North Carolina Office
(December 2011) U.S. Compliance Consultants is pleased to announce the opening of our branch office in Durham, North Carolina to better serve the growing number of investment advisers in the Southeastern part of the United States.
Scott Gottlieb, President of U.S. Compliance Consultants, Writes Featured Article for Schwab Institutional on the Transition of SEC Registered Investment Advisers
(September 2011) Schwab Institutional published a special edition of its Compliance Review periodical that was authored by Scott Gottlieb, President of U.S. Compliance Consultants. It provided an in-depth analysis of the required transition of mid-sized SEC registered investment advisers to state registration.
Scott Gottlieb, President of U.S. Compliance Consultants, quoted in Investment News
(April 2011) Scott Gottlieb, President of U.S. Compliance Consultants, was quoted in two important Investment News stories – “Some states give a break on the deadline for filings ADVs” and “A third of advisers may blow deadline on ADV-2 forms”.
Scott Gottlieb, President of U.S. Compliance Consultants, participates in panel at Money Managers Institute (MMI) Annual 2010 Solutions Conference
(November 2010) Scott Gottlieb, President of U.S. Compliance Consultants, talked about “Creating a Culture of Compliance in Lockstep with Business Growth Objectives” at a special MMI panel discussion during the MMI Annual 2010 Conference in New York City.
Scott Gottlieb, President of U.S. Compliance Consultants, Conducts Webinar for TD Ameritrade on the Impact of the Wall Street Reform Act
(October 2010) Scott Gottlieb, President of U.S. Compliance Consultants, conducted a webinar for over 300 TD Ameritrade- affiliated investment advisers on the process of transitioning from SEC to state registration.
Scott Gottlieb, President of U.S. Compliance Consultants, Writes Featured Article for Schwab Institutional on the Impact of the Wall Street Reform Act
(September 2010) Schwab Institutional published a special edition of its Compliance Review periodical that was authored by Scott Gottlieb, President of U.S. Compliance Consultants. It provided an in-depth synopsis of the registration process for those SEC registered investment advisors that must transition to state registration as a result of the Wall Street Reform Act.
Scott Gottlieb, President of U.S. Compliance Consultants, Writes Featured Article for Schwab Institutional on the Impact of the New Massachusetts Data Security Regulations
(December 2008) Schwab Institutional published a special edition of its Compliance Review periodical that was authored by Scott Gottlieb, president of U.S. Compliance Consultants. It provided an in-depth look at many of the new data security regulations applicable to investment advisers.
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. 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.
Management
Scott Eric Gottlieb, President and CEO
As President and CEO, Scott Gottlieb brings to U.S. Compliance Consultants more than fifteen 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.
Charles “Chuck” Clifton, Vice President
Chuck Clifton is Vice President of Professional Services and General Manager of the Company’s North Carolina office. In overseeing U.S. Compliance Consultants’ professional services division, Mr. Clifton is responsible for all aspects of the Company’s compliance consulting services including, compliance program development and review, risk assessment and testing, on-site mock examinations and SEC and state registration.
To the great benefit of our clients, Mr. Clifton brings an abundance of real world compliance and business expertise to his role as Vice President. Prior to joining U.S. Compliance Consultants, Mr. Clifton served as the Chief Compliance Officer, Information Technology Manager and Research Analyst of a mid-sized SEC-registered investment advisory firm. Among Mr. Clifton’s achievements was a complete overhaul of the firm’s compliance program, including redefining the firm’s compliance policies and procedures, establishing a robust compliance testing program, rewriting client engagement documents and redesigning the firm’s disaster recovery and business continuity program. Prior to serving as Chief Compliance Officer, Mr. Clifton worked at IBM for ten years in various roles, including business process re-engineering, software development and financial operations. In his association with U.S. Compliance Consultants, Mr. Clifton returns to his first career as a consultant. At SRA International, a global consulting firm with government clients in defense, intelligence/homeland security/special operations, health and civil agencies, Mr. Clifton served as liaison to federal agencies where his duties included client relationship management, project management and contract financial analysis and management.
Mr. Clifton completed his undergraduate studies at Virginia Tech where he was awarded a Bachelors of Arts degree in Economics and a Bachelors of Science degree in Computer Science. Mr. Clifton went on to complete his Masters of Business Administration degree at University of North Carolina at Chapel Hill Kenan-Flagler Business School. Mr. Clifton subsequently completed a Masters of Trust & Wealth Management degree at Campbell University’s Lundy-Fetterman School of Business.