Scott is something of an institution in the broker-dealer compliance world- a professional whose regulatory depth and genuine engagement with clients and colleagues make him a constant presence in the room.
His career, anchored in examination experience at some of the industry’s most prominent self-regulatory organizations, brought him to CRC Oyster in 2017. From 2005 to 2016, he served as a Principal Examiner at FINRA, conducting sales practice and financial examinations of member firms encompassing supervision and control reviews, marketing and sales practice assessments across equities, mutual funds, and corporate and municipal debt, and detailed anti-money laundering compliance reviews; his financial examinations included verification of General Ledgers, Trial Balances, Income Statements, Balance Sheets, Net Capital Computations, and FOCUS Filings across a diverse universe of broker-dealers. Earlier, Scott served as Chief Examiner at the Chicago Board Options Exchange (CBOE), where as the sole representative of the Regulatory Services Division in New York City he fulfilled the Exchange’s annual Designated Options Examining Authority (DOEA) commitment, covering sales practice and financial reviews of member firms’ retail, institutional, and proprietary options businesses. Before CBOE, he conducted pre-membership reviews, FOCUS filing reviews, and financial and sales practice audits at the NASD.
Scott holds a Bachelor of Arts in Economics from Queens College, City University of New York, and maintains a Series 27 (Financial and Operations Principal) license.
