Sales Manager

SCOTT DELLOSSO

Livingston, NJ *****

Phone: 973-***-**** www.linkedin.com/pub/scott dellosso/21/27b/7a ***********@***.***

SECURITIES COMPLIANCE PRINCIPAL TRADING INVESTIGATOR

Attentive and highly detailed professional possessing a breadth of experience in compliance supervision in support of

OFAC, FinCen, Global Anti Money Laundering Prevention and Federal Securities Regulations. Specialist in

conducting the investigation and prosecution of New York Stock Exchange and Federal Securities Regulations. Possess

expertise in the investigation of insider trading, Securities fraud and financial related crimes.

• SEC Knowledge • NYSE Experience • FINRA Rules & Regulations

• Market Surveillance • Experienced Regulator • AML Investigations

• Fraud Investigations • Broker Dealer Compliance • Equities Surveillance

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PROFESSIONAL EXPERIENCE

JPMorgan Chase & Co. 2014 Present

Compliance Officer ~ Global Compliance Operations

Manager ~ Controls Quality Testing (06/2014 – Present)

Preformed Quality Testing (QT) of the Client List Screening Units (CLS) to ensure high quality work in accordance

with internal standards and regulatory requirements. Screening types include; Negative Media, Politically Exposed

Person (PEP), OFAC, FinCen314(a),and IP Address.

Managed and directed the daily activities of a staff of 8

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Liaise with stakeholders through all covered LOB’s to arbitrate defects noted during weekly testing

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Responsible for the oversight of the Global CLS QT Team, which re performs analysis and

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investigation, and reviews escalation of alerts and suspicious activity

Conducted weekly and monthly conference calls with CLS Executive Management to report testing

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results as well as to identify any trends and quality testing observations

Senior Investigator ~ Global Financial Crimes Compliance Division (01/2014 – 06/2014)

Conduct the investigation of complex, internal and external financial crimes with a special emphasis on securities and

investment fraud.

Reviewed wire transactions relating to correspondent banking to identify Money Laundering &

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Terrorist Financing risk

Part of a PSI (Permanent Subcommittee on Investigations) team as a result of OCC Cease and Desist Order in

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2013 for AML/BSA compliance deficiencies (Look Back)

Analyzed individual transactions and source of funds to identify patterns of money laundering and/or terrorist

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financing including comingling of funds between business and personal accounts

2011 2014

Consulting

Standard Chartered Bank ~ Financial Crimes Analyst Transaction Monitoring

Crowe Horwath LLP ~ AML/BSA Banking Specialist – Transaction Monitoring/ SARs

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Kinetic Partners ~ Fraud Investigator Supported Securities fraud litigation in the US Court of Appeals

Commerzbank ~ AML/BSA Fraud Investigator Transaction surveillance of Correspondent Banking activity

Bank of America 2010 2011

Vice President ~ Investigative Services Special Investigations Division

Managed and oversaw complex, internal and external financial crimes investigations with a special emphasis on

securities and investment frauds impacting diversified operations within the bank; particular focus on investment

products and services.

Participated in task force and special projects to identify and mitigate risk and exposure to the Bank

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Prepared detailed reports covering investigative results with recovery prevention actions

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Interpreted and analyzed information gathered from numerous databases and third party sources; identified

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“red flags" that prompted further inquiry

New York Stock Exchange, Regulation, Inc. 1994 2010

Principal Member Investigator ~ Division of Enforcement (2004 2010)

Managed and oversaw the in depth and timely investigation of complex trading in order to identify possible violations of

SEC and NYSE rules and policies by members and member firms.

Appointed member of the Division of Enforcement Training Committee charged with the development and

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delivery of targeted staff training programs on the practical implications of topics such as regulation, new

market structure, and enhancements to existing trading systems

Conducted interviews and on the record depositions of floor members, floor officials, upstairs traders, chief

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compliance officers and other subjects

Personally led the investigation and prosecution of 216 New York Stock Exchange Enforcement Actions

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totaling $13.5M in fines in addition to the permanent bar of 14 registered representatives from employment in

any capacity on the NYSE trading floor or any other member organization

Senior Member Investigator ~ Market Surveillance Unit (2001 2004)

Led the implementation of timely, in depth investigations of rule and policy violations in the trading of NYSE listed

securities. Executed immediate initial investigations of possible on floor trading, disadvantageous order

executions/non executions, and fiduciary complaints regarding inferior price executions.

Served as key investigator for identification of registered representative targeting the elderly community in in a

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case exceeding $350K; resulted in the complete disbarment of individual in all regulatory jurisdictions

Supported activities of the Division of Enforcement by conducting interviews and on the record testimony of

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market participants, member firm customers, and supervisory personnel

Supervising Senior Examiner ~ Sales Practice Examinations/Audits (1994 2001)

Managed and directed the daily activities of 8 examiners, ensuring strict adherence to best practices. Interfaced with

staff to ensure the completion of all assignments effectively and efficiently. Traveled extensively to member firm sites

and their branch offices to conduct examinations.

• Planned, conducted and supervised over 80 sales practice examinations of member firms to ensure compliance

with established procedures and regulatory requirements

EDUCATION

Bachelor of Arts~ Criminal Justice

University of South Florida Tampa

FINRA Series 7 License (inactive)

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