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Senior regulatory compliance and financial crime professional with an extensive international background. My career has included in-house roles ranging from retail stockbroker to global Chief Compliance Officer; regulatory roles in the U.S. and Europe; leadership roles with leading edge technology solutions providers; and consulting to regulatory authorities around the world. Areas of particular focus have included artificial intelligence for regulatory compliance solutions; regulatory intelligence and regulatory reform; training;, and financial crime. Published author of two books on regulatory strategy and reform and a national award-winning column. Speaking engagements have included expert witness testimony to Congress and to the Financial Crime Inquiry Commission and multiple keynote addresses.Qualifications include Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), and Certified Global Sanctions Specialist (CGSS).
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Member Of The Board Of AdvisorsRulebook Aug 2024 - PresentAdvisor to the leadership of a cutting edge company leveraging artificial intelligence to solve problems that have long plagued Compliance departments, ranging from policy development to regulatory intelligence to training. https://www.rulebook.ai/ Services include advising management in strategic areas, including consulting with management and the Company's Board of Directors with respect to markets insights and product strategy as well as providing feedback on the Company's products and product roadmap. -
Executive Director, Compliance TrainingSumitomo Mitsui Banking Corporation Sep 2020 - Jul 2024Tokyo, JpResponsible for Regulatory Compliance Training for the Americas region of SMBC. Established the enterprise-wide Compliance Training function from inception, integrating training across multiple business lines, subsidiaries, and geographic regions. Oversaw the process to identify training needs across diverse units and coordinate the planning and execution of the enterprise-wide training plan.Established the professional development training program for all Compliance staff, consistently achieving 100% compliance and over 7,000 hours of training completed each year. Led the development of metrics and dashboards to assess the effectiveness of training, identify potential compliance "hot spots", and communicate information to senior leaders and the Board. -
Regulatory Compliance And Financial Crime ConsultantScott Mccleskey 2014 - Sep 2020Provide advisory and training services to government agencies and financial service providers. Engagements have included developing and delivering a comprehensive Anti-Money Laundering and Financial Crime training program to the staff of an Asian government agency, advising on the content and structure of financial crime training programs and providing written assessments of the impact of changes to financial crime regulatory regimes.
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Senior Vice PresidentEukleia Training Limited 2016 - 2019Provided subject matter expertise and training services to large financial institutions in the U.S. and Canada, with a focus on Anti-Money Laundering, Sanctions, and regulatory compliance. Assessed client training needs and developed training programs as appropriate.
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Member Of The Advisory BoardConvercent 2014 - 2019
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Vice President, Corporate Compliance ProgramsCharles Schwab 2014 - 2015Westlake, Texas, UsLed the central Compliance functions to ensure effective integration of policy, training, controls, and related functions across the corporation. -
Senior Vice President-Global Head Of Regulatory IntelligenceThomson Reuters 2009 - 2014Toronto, On, CaLed and expanded the Regulatory Intelligence operations worldwide for Thomson Reuters. Developed and expanded programs to provide regulatory intelligence and insight, special research reports, thought leadership, and the identification of new products and projects to meet emerging needs. Served on the Executive Leadership Team of the Governance, Risk, and Compliance business. Acted as the primary Subject Matter Expert on financial regulation and regulatory reform. -
Chief Compliance OfficerMoody'S Corporation 2006 - 2008New York, New York, UsEstablished and led the global Compliance department for Moody's Corporation from inception. Led the development of policies and procedures, managed budget and management issues, and investigated potential violations of the Code of Conduct. Led the development of the Compliance training program across all regions. Led a team of compliance professionals with team leaders for Europe, South America, Japan, and APAC ex-Japan. -
Senior Director, EuropeNasd (Now Finra) 2004 - 2006Provided specialized consulting services to government agencies around the world, including Russia, the Philippines, Romania, and Qatar. Services included development of laws and regulations tailored to the needs of the market, and training on advanced techniques to detect and investigate potential violations of relevant laws.
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Director, Public Regulatory PolicyVirt-X / Swiss Exchange 2000 - 2004Responsible for the development and execution of high-level policies for a pan-European stock market owned by the Swiss Stock Exchange. Negotiated policy outcomes with European Union, UK, and Swiss regulators. Served as representative to the Federation of European Securities Commissions, working closely with counterparts from exchanges across Europe to achieve consensus on issues relevant to markets in the region.
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Svp Investigations And Enforcement / Market SurveillanceEasdaq Sa/Nv 1998 - 2000Established and led the investigative function for a pan-European stock market.
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Market Surveillance Analyst / Team LeaderNational Association Of Securities Dealers (Nasd) 1992 - 1997Led a team responsible for detecting and investigating potential fraud on the Nasdaq and OTC markets. Responsibilities included the detection of potential violations, investigation planning, collection and analysis of evidence, and presentation of findings before the National Business Conduct Committee.
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Special AgentFederal Bureau Of Investigation (Fbi) 1988 - 1990Washington, Dc, Us -
Intelligence And Electronic Warfare Staff Officer2Nd Infantry Division - Korea 1987 - 1988Uijeongbu, Gyeonggi, Kr -
Platoon Leader39Th Combat Engineer Battalion 1984 - 1987
Scott Mccleskey Skills
Scott Mccleskey Education Details
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University Of CambridgeInternational Relations -
London Metropolitan UniversityFinancial Regulation And Compliance Management
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University Of London - School Of Oriental And African StudiesEconomics
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William & MaryGovernment
Frequently Asked Questions about Scott Mccleskey
What company does Scott Mccleskey work for?
Scott Mccleskey works for Rulebook
What is Scott Mccleskey's role at the current company?
Scott Mccleskey's current role is Regulatory Compliance Professional.
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What is Scott Mccleskey's direct phone number?
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What schools did Scott Mccleskey attend?
Scott Mccleskey attended University Of Cambridge, London Metropolitan University, University Of London - School Of Oriental And African Studies, William & Mary.
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Scott Mccleskey has interest in Education, Cycling, Hiking, Travel, History, Fencing.
What skills is Scott Mccleskey known for?
Scott Mccleskey has skills like Financial Regulation, Regulations, Strategy, Policy, Securities, Capital Markets, Regulatory Analysis, Ethics, Corporate Governance, Compliance, Dodd Frank, Operational Risk Management.
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