Scott Essex
President, Chief Compliance & Ethics Officer, Essex Enterprises, LLC
Scott is the President Essex Enterprises, LLC with deep expertise in compliance and ethics. Prior to starting his own venture, Scott was the Chief Compliance & Ethics Officer at Citizens Financial Group since 2014, responsible for strategy, development, implementation, and oversight of the enterprise-wide Compliance Management System. Specific areas of responsibility include, Anti-Money Laundering, Privacy, Identity Theft, Ethics, Conflict of Interest, Consumer Protection, Fair & Responsible Banking, Vendor Management, Affiliate & Insider Transactions, Information Barriers, Trading, Investment Advisory and Broker/Dealer. Essex is also responsible for Regulatory Change Management, Risk Assessment, Monitoring, Data Analytics, Regulatory Complaints and Assurance Testing.