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Scott Griffin is listed as Deputy CCO @ Aurora Private Wealth | Investment Company Act at Aurora Private Wealth, Inc., a company with 18 employees, based in Delmar, New York, United States. AeroLeads shows a matched LinkedIn profile for Scott Griffin.
Scott Griffin previously worked as Deputy Chief Compliance Officer at Aurora Private Wealth, Inc. and Senior Compliance Officer at Aurora Private Wealth, Inc.. Scott Griffin holds Bachelor Of Science - Bs, Business Administration, Finance from The College Of Saint Rose.
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I’m a self-driven and outcome-focused professional with extensive experience in launching and transforming enterprise risk management and compliance initiatives across diverse industries. Known for being a hands-on, approachable manager, I have a passion for teaching, mentoring, and developing multi-faceted teams. As a recognized subject matter expert in compliance and regulatory matters, I’m a servant leader with a relentless work ethic, dedicated to fostering a culture of ingenuity, accountability, and collective success. In addition, I’m also an exceptional negotiator and a creative problem-solver. I welcome all invitations to connect, and I can be reached at business53212@gmail.com, please let me know if I can do anything for you. Key skills include:Corporate GovernanceEnhanced Due Diligence Regulatory Initiatives and CompliancePolicy Development and Implementation Building and Leading Top-Performing Teams Revitalizing and Reinforcing Company Standards Process Identification and Issue ResolutionEthical Leadership and Executive Decision-MakingStakeholder Relationship Management Risk Assessment and Mitigation Instilling a Compliance Culture
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Rockaway, NJ
Achieved successive promotions with increasing leadership responsibilities for a top-tier independent financial advisory firm. Accountable for supporting the Chief Compliance officers of the firm’s RIA and Broker/Dealer, overseeing daily compliance activities for over 150 registered Financial Representatives.➣ Coordinates the audit process and prepares.
Parsippany, NJ
Supervised a team of four senior internal compliance personnel. Directed the oversight of over 100 Registered Financial Representatives, with support from the Chief Compliance Officer (CCO). Enforced written supervisory procedures and conducted continuing education training preparation.➣ Reviewed and monitored email correspondence to ensure compliance with.
Brought on board to conduct daily reviews of Registered Representatives' activities to ensure compliance with regulatory standards. Evaluated client account materials for suitability, risk assessment, and complaint resolution.➣ Corresponded with Representatives regarding client-related issues and overall business practices.➣ Reviewed regulatory materials.
Delmar, NY
Provides consultative, customized investment advice to individuals and families.
Delmar, NY
Oversaw day-to-day operations of four offices with 20 total brokers, leading staff hiring, development, and performance management. Provided ongoing training to the compliance staff on daily and monthly supervisory and regulatory tasks. Utilized Advent Axys software for recording and processing financial transactions.➣ Conducted approximately 20 compliance.
Other employees you can reach at aurorapw.com. View company contacts for 18 employees →
Desmond Gordon, Jr.
Colleague at Aurora Private Wealth, Inc.
Rockaway, New Jersey, United States, United States
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John H. Chapel
Colleague at Aurora Private Wealth, Inc.
Charlestown, Rhode Island, United States, United States
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Kevin Leblanc
Colleague at Aurora Private Wealth, Inc.
Rockaway, New Jersey, United States, United States
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SJ
Scott J. Wallach, Crpc ®
Colleague at Aurora Private Wealth, Inc.
New York City Metropolitan Area, United States
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Ted Howell
Colleague at Aurora Private Wealth, Inc.
Rockaway, New Jersey, United States, United States
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Teresa Francesco
Colleague at Aurora Private Wealth, Inc.
Essex County, New Jersey, United States, United States
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Sandy Mesa
Colleague at Aurora Private Wealth, Inc.
Camarillo, California, United States, United States
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RK
Ron Kaplan Qka
Colleague at Aurora Private Wealth, Inc.
East Brunswick, New Jersey, United States, United States
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Timothy L. Smith, Cfp(R)
Colleague at Aurora Private Wealth, Inc.
Sarasota, Florida, United States, United States
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Ed Reaven, Cmfc®, Aif®
Colleague at Aurora Private Wealth, Inc.
Rockaway, New Jersey, United States, United States
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Scott Griffin works for Aurora Private Wealth, Inc..
Scott Griffin is listed as Deputy CCO @ Aurora Private Wealth | Investment Company Act at Aurora Private Wealth, Inc..
Scott Griffin is based in Delmar, New York, United States while working with Aurora Private Wealth, Inc..
Scott Griffin has worked for Aurora Private Wealth, Inc., Griffin Financial Services, and Investors Capital Corporation.
Scott Griffin's colleagues at Aurora Private Wealth, Inc. include Desmond Gordon, Jr., John H. Chapel, Kevin Leblanc, Scott J. Wallach, Crpc ®, and Ted Howell.
You can use AeroLeads to view verified contact signals for Scott Griffin at Aurora Private Wealth, Inc., including work email, phone, and LinkedIn data when available.
Scott Griffin holds Bachelor Of Science - Bs, Business Administration, Finance from The College Of Saint Rose.
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