Scott Brown Email & Phone Number
Associate Director and Financial and Operations Principal @ Compliance Risk Concepts (CRC)
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Scott Brown Location
- New York, NY, US
Scott Brown Work
- 2016 - now Associate Director and Financial and Operations Principal @
- 2005 - 2016 Principal Examiner @
- 1984 - 2005 Chief Examiner @
- 1982 - 1984 Associate Examiner @
Scott Brown Education
- City University of New York-Queens College
Bachelor of Arts (Economics)
Scott Brown Skills
- FINRA
- Securities
- AML
- Securities Regulation
- Equities
- Due Diligence
- Hedge Funds
- Capital Markets
- Financial Risk
- Fixed Income
- Financial Markets
- Bank Secrecy Act
- Financial Regulation
- Broker-Dealer
- Financial Services
- Series 7
- Options
- Finance
- Derivatives
- Series 63
- USA PATRIOT Act
- Risk Management
- SEC
- Trading
- Banking
- Bloomberg
- Investment Advisory
- OFAC
- Hair Care
- Corporate Governance
- Private Placements
- Investments
- Mutual Funds
- Series 24
- Alternative Investments
- Asset Management
- Equity Trading
- Prime Brokerage
- Internal Controls
- KYC
- ETFs
- FCPA
- Operational Risk Management
- Dodd-Frank
- Investment Banking
- Wealth Management
- Market Risk
- Equity Derivatives
- Electronic Trading
Scott Brown Summary
- Scott Brown, based in New York, NY, US, is currently a Associate Director and Financial and Operations Principal at Compliance Risk Concepts ("CRC"). Scott Brown brings experience from previous roles at Financial Industry Regulatory Authority (FINRA), Chicago Board Options Exchange and NASD. Scott Brown holds a Bachelor of Arts in Economics @ City University of New York-Queens College. With a robust skill set that includes FINRA, Securities, AML, Securities Regulation, Equities and more. Scott Brown has 5 emails and 1 mobile phone numbers on RocketReach.
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Top Compliance Risk Concepts (CRC) Employees
Jaclyn Bowdren
Managing Principal and Chief Operating Officer
New York, NY, US
Mitch Avnet
Managing Partner
New York, NY, US
Roland Reyes
Director, Compliance Professional Services
New York, NY, US
Ashley Latourelle
Associate Director
New York, NY, US
Kuni Chen
Head Supervisory Analyst
New York, NY, US
Jeff Press
Senior Regulatory Compliance Professional
Portland, OR, US
Patrick Spiroff
Independent Contractor
Frankfort, IL, US
Steven Cohen
Compliance Advisor
Englishtown, NJ, US
David Amster
Managing Principal
New York, NY, US
Sam Fleischman
Senior Regulatory Compliance Professional
New York, NY, US
Julie Ivers
Compliance Consultant
Lehi, UT, US
Armando Valdes
Associate Director
Florida, United States
Michael Durette
Chief Revenue Officer
Philadelphia, PA, US
William Herman
Operations Analyst
New York, United States
Mallory Kate
Business Development Specialist
New York, NY, US
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