Scott Daugherty

About Scott Daugherty

At Compliance Alliance, our goal is to give community banks a reliable and trusted resource solely focused on bank regulatory compliance. Owned by 37 State Bankers Associations, our strengths consist of pragmatic innovation, services that add real value, and industry expertise. This has resulted in fast, reliable services that cover your entire operations and expand to fit your needs. Virtual Compliance Officer, a shared service leveraging our experienced and knowledgeable staff and offering:• Monthly monitoring & reporting• Assisting with implementation• Customization of policies and procedures• Accessing Daily risk• Transaction Testing and reporting• Monthly compliance committee steeringCompliance Alliance set the bar by uncovering new ways to assist your bank in regulatory compliance. On average, we save banks one FTE through our more than 1,900 tools, a compliance hotline that answers more than questions annually with a satisfaction rate of more than 99%, review of ads, marketing, policies and procedures. The Bankers Institute is an educational platform developed by Compliance Alliance, dedicated to serving the banking industry. We serve the entire institution—from boardroom strategy to front-line execution—through seven institutes: Cyber, AI, Compliance, Technology, Leadership, Privacy, and Operations.Strategic and innovative leader able to leverage deep understanding of business strategy, team leadership, and relationship development. Banking advocate with longstanding professional relationships including industry executives, regulatory agencies, and legislators.Core Competencies:Regulatory Compliance • Legislative Impact Advisory • Legislative Advocacy • Reputation Management • Team Leadership & Development • Financial Strategy • Business Development • Strategic Planning • Risk Management • Program Development • Community & Public Relations

Experience

1. Senior Vice President

   Texas Bankers Association

   Jan 2003 — Present · Austin, TX, US

   I advised banks on operational impact of legislative regulations and serve as a registered Texas lobbyist, advocating on behalf of the banking industry. I consult with all TBA departments on legal/regulatory manners, providing advice and contract creation, review, and revision.I also represented TBA through management of TBA BankPac and speaking engagements at various schools, conferences, and events. I attended banker meetings across state and speak at pursuant gatherings, maintaining TBA’s longstanding reputation through service-oriented community relations.

Education

• University of Kentucky

  Bachelor of Science - BS, Communications

  1981 — 1985

• St. Mary's University School of Law

  Doctor of Law - JD

  1997 — 2000

Skills

• Kyc
• Aml
• Banking
• Risk Management
• Anti Money Laundering
• Finance
• USA Patriot Act
• Financial Analysis
• Financial Institutions
• Loans
• Financial Regulation
• Commercial Banking
• Financial Structuring
• Small Business Lending
• Structured Finance
• Mergers & Acquisitions
• Credit Risk
• Operational Risk
• Bank Secrecy Act
• Financial Risk
• Asset Management
• Consumer Lending
• Securities Regulation
• Securities
• Real Estate
• Operational Risk Management
• Financial Services
• Credit
• Retail Banking
• Mortgage Lending
• Credit Analysis
• Fraud
• Corporate Governance
• Ofac
• Commercial Lending
• Due Diligence