Cindy Scott

Cindy Scott has extensive experience in compliance and supervision within the financial services industry, currently serving as Team Lead for Supervision and Manager of Compliance at Transamerica Financial Advisors, Inc. since 2009. In this role, Cindy Scott provides expertise in compliance, risk mitigation, and process development, optimizing the firm's monitoring and surveillance, Anti-Money Laundering, and Cybersecurity functions while directly reporting to the Chief Compliance Officer. Prior to this, Cindy Scott held the position of Regional OSJ Manager at InterSecurities, Inc., where responsibilities included developing a new OSJ structure and overseeing operations for over 30 registered branches. Earlier experience as Compliance Supervisor at Intersecurities Inc. involved establishing the Monitoring & Surveillance Department and implementing regulatory reports. Cindy Scott holds a Bachelor of Arts degree in Business with an Emphasis in Finance from Eckerd College.