Scott Griffin Email & Phone Number

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 reporting documents to ensure regulatory compliance.➣ Manages the Continuing Education Program, including comprehensive report listings to enhance staff development and regulatory adherence.➣ Oversees daily exception reports from the Daily Trade Blotter, addressing anti-money laundering (AML) functions and other regulatory and supervisory tasks.➣ Contributed to the recruitment process by assisting in hiring two key compliance personnel.➣ Orchestrated the branch audit program, securing comprehensive oversight and compliance.➣ Prepares analysis reports and allocates continuing education resources to staff members.➣ Assists and assigns email review tasks to maintain compliance with communication regulations.➣ Supports regulatory audits and paperwork processes, verifying conformity to legal requirements.➣ Approves new accounts and transactions, ensuring compliance with regulatory guidelines.➣ Assists employees with variable annuity applications and approvals, facilitating smooth processes.➣ Reviews Anti-Fraud letters and the Daily Transaction Blotter for compliance adherence.➣ Serves as head of insurance products at Aurora Insurance, obtaining licensure in nearly all 50 states.

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 regulatory standards.➣ Helped supervise field compliance staff and coordinated the Branch Exam Audit Program and reviews.➣ Planned and organized annual compliance meetings and assisted with SEC/FINRA regulatory inquiries.➣ Participated in the approval process for advertising materials for over 200 individuals.➣ Approved transactions for suitability, including annuities, mutual funds, stocks, and fixed income.➣ Conducted suitability reviews and approved client paperwork to ensure compliance adherence.➣ Coordinated the SMARSH Email Archiving Platform and oversaw the monitoring and updating of the SMARSH Email Review Program.

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 in alignment with comprehensive written supervisory procedures.➣ Engaged with Representatives regarding advertising and public correspondence compliance.➣ Executed advertising approvals for Registered Representatives, ensuring compliance with FINRA rules and regulations.

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 audits in seven years with the firm. ➣ Implemented continuous monitoring of Broker activities through the "OSJ" (Office of Supervisory Jurisdiction) management functions.

Bachelor Of Science - Bs, Business Administration, Finance

Associate Of Arts And Sciences - Aas, Business Administration