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Scott Montes
Chief Operating Officer and Chief Compliance Officer @Cloud Investments, Llc
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WORK HISTORY
Chief Operating Officer and Chief Compliance Officer @Cloud Investments, Llc
Huntsville, AL, US
Chief Compliance Officer for a RIA specializing in retirement planning. Ensure compliance with applicable rules and regulations governing the firm, and in adherence to SEC rules and regulations. Manages daily operations, trading, billing and strategic direction for company.
EDUCATION
Auburn University
Bachelor of Science (B.S.), Operations Management
SKILLS
ABOUT SCOTT MONTES
A well-rounded financial services industry veteran with extensive RIA and Broker-Dealer compliance, supervision, operations and audit experience. Passionate about compliance, integrity and risk management, in the dynamic world of financial services. Reputation as a problem-solver that can execute complex issues and ensure exceptional outcomes.
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