Scott Benson

Scott Benson is Director of Financial & Regulatory Compliance and Anti-Money Laundering VP, at Ward Smith and Director at EB Scott, LLC.
 
Scott has 20+ years Financial Services experience. He has 15 years of dedicated Anti-Money Laundering and OFAC compliance experience in MSB, Institutional, Retail, Commercial Lending, Trade Finance, and Private Banking business areas working in large global banks and securities broker dealer firms.
 
His specialties include creation and implementation of AML programs inclusive of Patriot Act, FINRA 3310, MSRB G-41, BSA, EDD, KYC, CIP, OFAC, Sanctions, Risk Assessment and Management, Transaction Activity Monitoring, SAR & CTR research and reporting, Enforcement Actions, 314(a) and 314 (b) programs, Regulatory remediation, risk assessments pursuant to FATF and local regulations, independent testing, monitoring rules enhancement/reduction of excessive alerts, customer risk ranking, customer on-boarding, training, economic sanctions — Office of Foreign Assets Control (OFAC) risk assessments, high risk investigations,enhanced due diligence and specialized due diligence investigations, and forensic analysis.
 
Scott was previously AML Operations Manager, AVP International Client Group/Global Wealth Management at Citi; Director Broker Dealer Retail Sales Practice Supervision at Northwestern Mutual; Assistant Complex Manager, AVP Broker Dealer Retail Sales Practice Supervision at RBC Capital Markets; Director AML Compliance & Regulatory Affairs, VP at GunnAllen Financial; Sr. Regional Compliance Officer AML, AVP Broker Dealer Compliance at RBC Capital Markets; Sr. Compliance Examiner, AML Member Regulation at Financial Industry Regulatory Authority; Sr. AML Compliance Officer, Custodian of Books and Records, VP at Datek Online; Sr. Analyst Broker Dealer Compliance at MetLife Financial Services; and Service Representative WCMA/Business Financial Services at Merrill Lynch.
 
Read his LinkedIn profile.