Scott Coya

Scott Coya has a diverse work experience in the financial industry. Scott started their career at Carson Group as an Analyst from 1995 to 1998. Scott then joined UBS as a Compliance Analyst, where they provided compliance coverage for branch offices and developed surveillance strategies from 1999 to 2001.

Scott later joined the New York Stock Exchange as an Examiner from June 2002 to December 2003. Scott then moved to Credit Suisse as a Compliance Officer, monitoring policies and procedures for Private Banking offices and business groups, developing control processes, and implementing training and testing programs from December 2003 to July 2010.

Following their role at Credit Suisse, Scott worked at Barclays Capital as a Compliance Officer. Scott was primarily responsible for providing coverage to the Municipal Trading and Public Finance business, including advisory, guidance, and policy implementation. Scott also contributed to the development of the firm's risk assessment and control gap improvement plans from July 2010 to November 2013.

Scott continued their career at Barclays Capital as a Compliance Risk Review Manager from August 2013 to November 2014. In this role, they managed a team that conducted branch examinations, deep-dive reviews, and tests for control gaps. Scott also developed a risk-based approach to reviewing the firm's Wealth Investment Management business.

From September 2014 to January 2017, Scott served as the Compliance Officer - Municipal and Political Law Compliance at Barclays Investment Bank. Scott managed two teams that covered the firm's Municipal business lines and provided advice and guidance on various complex trading scenarios and conflicts related to investment banking transactions. Additionally, they developed and administered a compliance program to comply with the Dodd Frank Municipal Advisor Rule.

Scott then joined Prudential Financial as an Investment Adviser Compliance professional from September 2017 to April 2019. Scott worked on compliance-related matters for the company's investment advisory business.

Most recently, Scott served as VP, Deputy Chief Compliance Officer at D.A. Davidson Companies from April 2019 to January 2022. In this role, they held a leadership position in overseeing compliance activities.

Currently, Scott is working at Hilltop Securities Inc. since January 2022 as the Chief Compliance Officer.

Scott Coya attended Bergen Catholic from 1988 to 1992, although no specific degree or field of study is provided. Following that, they pursued a Bachelor of Science in Finance at Fordham University from 1992 to 1996.