Scott Neville

About Scott Neville

As a senior-level Investigations/Transaction Monitoring Team Lead with more than 20 years of experience, I thrive in environments where I can guide investigation teams and collaborate with others to drive results. Throughout my career, I have been consistently recognized as the subject matter expert and go-to person for investigations, leveraging strong collaboration and communication skills to manage teams and coordinate with auditors and regulators.My areas of expertise include team leadership, cross-functional collaboration, and complex problem solving. Often called upon to assemble new teams, I mentor and coach junior-level employees into high-performing professionals who successfully identify risk, work with others, and collaborate effectively even in high-stress, busy, and globally separated environments. Furthermore, I have a log history of successfully implementing new AML/Transaction Monitoring initiatives and programs.I’m actively seeking to benefit a new finance company by providing a unique combination of regulatory/legal compliance expertise and team leadership skills. Connect with me or email me at S••••••••@gmail.com to discuss how I can add value to your organization. Technical Skills: Anti-Money Laundering (AML), AML Risk Assessment, AML Policies & Procedures, Internal Investigations, Employee/Client Compliance, USA Patriot Act, Bank Secrecy Act (BSA), Know Your Customer (KYC), Criminal Investigations, OFAC Sanctions, Suspicious Activity Report (SAR) Protocol, Oracle EDW, Fortent, NICE Actimize, SAM Transaction Monitoring System, Metrics Reporting, MS Office Soft Skills: Management, Team Leadership, Communication, Coordination, Operations Management, Project Management, Program Development

Experience

1. Contractor

   Compliance Risk Concepts Crc

   Jan 2019 — Present · New York, NY, US

   Working with Credit Suisse Securities, I conducted financial crimes/AML investigations, ensuring reportable activity was presented to the SAR review committee. I reviewed the firm\'s wires, as well as SEC requests specific to trading, including 10Q requests, cannabis trading, and referrals from other CS departments. I served as investigator for America\'s FCC Investigations team.

Education

• Pace University

  Finance

Skills

• Fraud
• Investments
• Mutual Funds
• Investment Advisory
• Ofac
• Capital Markets
• Series 7
• Anti Money Laundering
• USA Patriot Act
• Leadership
• Bank Secrecy Act
• Options
• Aml
• Series 63
• Sanction
• Fcpa
• Hedge Funds
• Alternative Investments
• Financial Advisory
• Kyc
• Series 24
• Fixed Income
• Finra
• Financial Services
• Securities Regulation
• Securities