Compliance Risk Concepts (CRC)
Scott Brown is currently employed at Compliance Risk Concepts as an Associate Director/Financial & Operations Principal, where duties involve reviewing broker dealer records and financial statements for compliance with regulatory rules. With previous experience at FINRA as a Principal Examiner for Options and Futures, and at the Chicago Board Options Exchange as a Chief Examiner, Brown has a strong background in financial industry regulation. Additionally, his role as an Associate Examiner at NASD involved conducting financial audits of member firms. Brown holds a Bachelor of Arts degree in Economics from Queens College.
Compliance Risk Concepts (CRC)
To meet rigorous regulatory expectations and requirements, it is imperative that organizations have access to “best in class” talent that has extensive knowledge of the businesses being supported. CRC is staffed with a team of Compliance Risk Management industry professionals that have a proven track record of establishing comprehensive Compliance Risk Management Programs throughout many industry verticals. We offer compliance consulting services in the following industries: Financial Services Anti-Corruption & Ethics Technology Industry Compliance Enterprise Compliance Risk Management Research Supervisory Analyst Expert Witness Service Financial Operational Principal Services With headquarters in New York, NY, and offices in Chicago, IL, and Westport, CT, CRC is your full-service Compliance Risk Management support partner. Please feel free to contact us with any questions related to the services and solutions described and we would be happy to schedule a call / meeting to further determine your individualized needs and requirements. CRC specializes in executing and overseeing the following: New Member Applications | Continuing Member Applications | Annual CEO Certifications | Independent AML Reviews | Conflict of Interest Reviews | Expert Witness Testimony | 15c3-5 Certifications | MCDC Oversight | Trading Surveillance | Best Execution Analysis | Swap Dealer BCP Independent Reviews | Investment Advisor Gap Analysis | Industry Surveys/Studies | Public Speaking Engagements | Written Supervisory Reviews | Regulatory Relations | Examinations | Dodd-Frank | Volcker Rule | Broker Dealer Compliance | Sales Practice | Bank Compliance | System Implementations | Equity and Fixed Income Markets | Research | BSA / AML | Regulatory Reporting