Scott Essex

Executive Vice President, Chief Compliance & Ethics Officer Citizens Financial Group

Scott Essex joined Citizens Financial Group in 2014 and serves as Chief Compliance & Ethics Officer, 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.