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Scott Gilbert

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Scott Gilbert

Vice President | FINRA

New York, New York, United States

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Scott Gilbert

Summary

Scott Gilbert is a seasoned professional with extensive experience in investor protection and regulatory compliance within the financial services sector. Currently serving as Vice President of Risk Monitoring at FINRA, he has a proven track record of managing complex compliance programs and overseeing significant regulatory initiatives. His past roles include leadership positions at major financial institutions like UBS and Merrill Lynch, where he honed his expertise in compliance, internal investigations, and litigation. Scott is known for his critical thinking and public speaking skills, frequently sharing insights at industry conferences. With over 12 years in managerial roles, he has effectively led teams and influenced regulatory policies to enhance market integrity. His academic credentials include a JD from New York University School of Law and a BA in Political Science from Columbia University. Beyond his professional achievements, Scott is passionate about fostering a culture of compliance and ethics in the financial industry.

General

Specialist

Leadership Experience

Long-Term Tenure

Professional interests

Leadership Development

Sustainability

Organisational experience

Corporate Experience

Government Experience

Scott Gilbert

Work Experience

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Vice President at

FINRA

January 2020 - Present

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Vice President, New York District Director at

FinRA ry

April 2019 - Present

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Senior Director at

FinRA ry

September 2013 - April 2019

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Executive Director and Head, Wealth Management Advisor Group Compliance at

UBS Group AG

January 2011 - January 2013

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Executive Director and Senior Associate General Counsel at

UBS Group AG

January 2004 - January 2011

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Vice President, Senior Counsel at

Merrill Lynch/Wfc/L. Inc.

January 2000 - January 2004

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Trial Counsel, Division of Enforcement at

NYSE

January 1995 - January 2000

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Litigation Associate at

Bizar And Martin

January 1992 - January 1995

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Litigation Associate at

Dewey Ballantine

January 1990 - January 1992

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Scott Gilbert

Education

New York University School of Law, Doctor Of Law - Jd

January 1987 - January 1990

Columbia College, Columbia University, Bachelor Of Arts - Ba

January 1983 - January 1987

Frequently Asked Questions about Scott Gilbert

What is Scott Gilbert email address?

Scott Gilbert's primary email address is *************@finra.org. To view the full verified email and additional contact details, sign up for free with Muraena.

What company does Scott Gilbert work for?

Scott Gilbert is a Vice President at FINRA, a company specializing in Functions related to depository banking.

Where Scott Gilbert graduated from?

Scott Gilbert holds a degree in Law from New York University School of Law.

How can I directly contact Scott Gilbert?

To contact Scott Gilbert directly, you can use the email address *************@finra.org. Complete contact information is available upon registration with Muraena.

Who is Scott Gilbert?

Scott Gilbert is a seasoned professional with extensive experience in investor protection and regulatory compliance within the financial services sector. Currently serving as Vice President of Risk Monitoring at FINRA, he has a proven track record of managing complex compliance programs and overseeing significant regulatory initiatives. His past roles include leadership positions at major financial institutions like UBS and Merrill Lynch, where he honed his expertise in compliance, internal investigations, and litigation. Scott is known for his critical thinking and public speaking skills, frequently sharing insights at industry conferences. With over 12 years in managerial roles, he has effectively led teams and influenced regulatory policies to enhance market integrity. His academic credentials include a JD from New York University School of Law and a BA in Political Science from Columbia University. Beyond his professional achievements, Scott is passionate about fostering a culture of compliance and ethics in the financial industry.

Scott`s contact details

mail

*************@finra.org

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