Scott Gilbert
Scott M. Gilbert is a FINRA Vice President in the Department of Member Supervision with supervisory responsibility for the Risk Monitoring team that covers the Large Diversified Firm Group, and for the Alternative Net Capital regulatory specialist team. In 2019, he was FINRA’s New York District Director, responsible for the New York District’s examination and risk monitoring programs. From 2013 to 2019, he was a FINRA Senior Director with responsibility for the New York District’s large firm examination and cause examination programs. From 2004 through 2013, Scott was employed at UBS Financial Services Inc. in various roles including Executive Director and Head of Compliance for the Wealth Management Advisor Group of UBS, with responsibility for compliance matters and policies relating to the broker-dealer’s financial advisors. From 2006 through 2010, he was Senior Associate General Counsel and head of the group responsible for internal investigations and disciplinary recommendations at UBS. In that role, he advised the firm's management in all aspects of issues related to employee compliance with firm policies and industry rules, regulations and laws. From 2000 to 2004, Scott was Vice President and Senior Counsel with Merrill Lynch & Co., where he was responsible for global regulatory matters and internal investigations. Prior to that, he was a trial counsel with the Division of Enforcement of the New York Stock Exchange, responsible for enforcing the rules of that self-regulatory organization, investigating customer complaints and prosecuting disciplinary actions. Scott was at the NYSE from 1995 to 2000. He also was a litigation attorney in private practice from 1990 to 1995, with a focus on complex commercial litigation and securities class actions. Scott is a graduate of Columbia University and New York University School of Law.