As a Compliance Officer, Scott J. Ford III works collaboratively with the Legal team to ensure company operations comply with regulatory and internal standards while identifying any deficiencies or risk of concerns for management. His responsibilities include reviewing marketing materials to certify compliance of SEC Marketing Rule and GIPS guidelines, and performing ongoing monitoring, testing, and review of firm-wide policies and procedures. Scott is also part of the team that manages the company’s SEC registration documents along with other regulatory findings.
Prior to joining Boyd Watterson in June of 2022, Scott gained more than a decade of experience in the compliance industry serving as a Sr. Compliance Specialist at companies such as Union Home Mortgage Corporation (UHM) and United Consumer Financial Services (UCFS).