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Crystal J. Scott, Cfe Email & Phone Number

BD Compliance Analyst at Cetera Financial Group
Location: Dallas-Fort Worth Metroplex, United States 6 work roles
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Current company
Cetera Financial Group
Role
BD Compliance Analyst
Location
Dallas-Fort Worth Metroplex, United States
Company size
1744 employees

Who is Crystal J. Scott, Cfe? Overview

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Quick answer

Crystal J. Scott, Cfe is listed as BD Compliance Analyst at Cetera Financial Group, a with 1744 employees, based in Dallas-Fort Worth Metroplex, United States. AeroLeads shows a matched LinkedIn profile for Crystal J. Scott, Cfe.

Crystal J. Scott, Cfe previously worked as AML Compliance Analyst at Cetera Financial Group and Compliance Consultant - AML at Avantax Wealth Management℠.

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Email format at Cetera Financial Group

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Cetera Financial Group

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Profile bio

About Crystal J. Scott, Cfe

At the forefront of Avantax Wealth Management's AML Compliance efforts, I bring a deep dedication to safeguarding financial interests through meticulous Senior Investor and Vulnerable Adult Protection and Fraud Investigation. My tenure has honed a sharp acumen for detecting and mitigating financial exploitation, fraud, and ensuring the integrity of our client's assets remains unassailable.Collaborating closely with law enforcement and internal teams, we've fortified trust in our financial services by maintaining effective controls, managing risks, and developing policies and procedures that support the Firm’s efforts and operations. My commitment to financial service compliance and risk management functions is unwavering, as I leverage my knowledge and expertise to protect and serve our clients’ best interests.

Current workplace

Crystal J. Scott, Cfe's current company

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Cetera Financial Group
Cetera Financial Group
BD Compliance Analyst
Texas, United States
Website
cetera.com
Employees
1744
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6 roles

Crystal J. Scott, Cfe work experience

A career timeline built from the work history available for this profile.

Compliance Consultant - Aml

Avantax Wealth Management℠

Coppell, Texas, United States

• Receive and respond to Financial Elder Abuse and Fraud Occurrences • Identify and mitigate financial exploitation red flags, signs of diminished capacity, fraud trends, schemes, scams, and compliance vulnerabilities • Conduct complex investigations with minimal supervision• Document investigative steps and case notes thoroughly and accurately • Apply and adhere to mandatory reporter requirements, BSA, FINRA, and SEC regulatory relief disciplines • Present investigative findings to law enforcement agencies and internal legal counsel• Maintain strong working relationships with Local, State, and Federal Law Enforcement Agencies• Submit accurate and timely Suspicious Activity Reports (SARs)• Present recommendations for potential compliance and risk management improvements and updates• Provide back-up, training, and support to compliance and operational team members• Perform routine AML Compliance surveillance

Sales Supervisor

Isc Group, Inc.

Dallas, Texas, United States

• Supervise Internal Sales Team (AUM>$50 Million)• Increase Sales Production (58% Quarterly Comparison)• Systemize Sales Lead process• Manage client relationships and critical assignments• Customize CRM Databases• Improve New Business turnaround times and client retention• Create targeted sales campaigns and marketing schemes• Research new products and services• Reduce compliance errors• Guide reps through new compliance regulations and firm policies

Feb 2016 - May 2017

Payroll Administrator (Supervisor)

Isc Group, Inc.

Dallas, Texas

• Lead bi-monthly payroll process in excess of $500K per cycle with minimal errors • Lead quarterly advisory payroll process in excess of $200K per cycle with minimal errors • Reconcile commission discrepancies • Renegotiate vendor contracts (realized expense reduction of 50%) • Audit rep/client commission activity

Jul 2009 - Feb 2016

New Business Coordinator

Isc Group, Inc.

Dallas, Texas

• Facilitate legal document transmittal • Perform legal document compliance review • Establish new account profiles • Manage firm top producers relationships• Perform data entry functions with 80% accuracy • Review client correspondence submissions

Oct 2007 - Jul 2009
Team & coworkers

Colleagues at Cetera Financial Group

Other employees you can reach at cetera.com. View company contacts for 1744 employees →

TL Teri Lachermeier Teri Lachermeier Colleague at Cetera Financial GroupSt Cloud, Minnesota, United States View → MP Makayla Pena Makayla Pena Colleague at Cetera Financial GroupAlbuquerque, New Mexico, United States View → KW Karen Walls Karen Walls Colleague at Cetera Financial GroupLos Angeles County, California, United States View → CS Cheng Sayaxang Cheng Sayaxang Colleague at Cetera Financial GroupDes Moines, Iowa, United States View → CS Christl Setchell Christl Setchell Colleague at Cetera Financial GroupHouston, Texas, United States View → JB Jeff Buchheister Jeff Buchheister Colleague at Cetera Financial GroupSan Diego, California, United States View → CG Callie Gustafson Callie Gustafson Colleague at Cetera Financial GroupDenver, Colorado, United States View → JC Joanna Crespino Joanna Crespino Colleague at Cetera Financial GroupPittsburg, Kansas, United States View → CP Calla Poulos Calla Poulos Colleague at Cetera Financial GroupGreater Hartford, United States View → TL Teresa Latimer Teresa Latimer Colleague at Cetera Financial GroupMesquite, Nevada, United States View →
FAQ

Frequently asked questions about Crystal J. Scott, Cfe

Quick answers generated from the profile data available on this page.

What company does Crystal J. Scott, Cfe work for?

Crystal J. Scott, Cfe works for Cetera Financial Group.

What is Crystal J. Scott, Cfe's role at Cetera Financial Group?

Crystal J. Scott, Cfe is listed as BD Compliance Analyst at Cetera Financial Group.

Where is Crystal J. Scott, Cfe based?

Crystal J. Scott, Cfe is based in Dallas-Fort Worth Metroplex, United States while working with Cetera Financial Group.

What companies has Crystal J. Scott, Cfe worked for?

Crystal J. Scott, Cfe has worked for Cetera Financial Group, Avantax Wealth Management℠, and Isc Group, Inc..

Who are Crystal J. Scott, Cfe's colleagues at Cetera Financial Group?

Crystal J. Scott, Cfe's colleagues at Cetera Financial Group include Teri Lachermeier, Makayla Pena, Karen Walls, Cheng Sayaxang, and Christl Setchell.

How can I contact Crystal J. Scott, Cfe?

You can use AeroLeads to view verified contact signals for Crystal J. Scott, Cfe at Cetera Financial Group, including work email, phone, and LinkedIn data when available.

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