Scott Healey Email & Phone Number

Kirkland, Wa, Us

Seattle, Washington, United States

Seattle, Washington

Responsible for the administration and oversight of the firm's compliance program.Developed, implemented, and maintained the firms Written Supervisory Procedures, Compliance Manual, Code of Ethics, Business Continuity Plan, Anti-Money Laundering Policies and Procedures, Identity Theft Prevention Program, and Cyber Security Incident Response Plan.Performed risk assessments for the firm and developed policies and procedures to mitigate or eliminate identified risks.Conducted comprehensive testing of the firm’s compliance with internal policies and procedures.Responsible for initial due diligence and ongoing monitoring of equity sub-advisors hired by the firm.Completed required 13F and ADV regulatory filings. Responded to regulatory inquiries as necessary.

Seattle, Washington

Functioned as the primary liaison for 19 member firms assisting with compliance of federal securities laws, NASD, and MSRB rules and regulations.Conducted routine and special examinations of member firms' financial statements, sales, trading, underwriting, and supervisory practices.Performed ongoing surveillance of member firms' financial condition and business activities. Addressed items posing significant regulatory risk through special examinations.