- Compliance Associate at Och-Ziff Capital Management Group
- Analyst in the Market Regulation unit at FINRA
- Legal and Compliance Intern at SMBC Capital Markets and SMBC Securities Inc.
Scott Alocci is a Senior Consultant based in Exiger’s New York office.
Scott joined Exiger from Och-Ziff Capital Management Group, where he was a Compliance Associate with a focus on sanctions compliance. In this role, he monitored and maintained the firm’s Sanctions Restricted List with regard to Office of Foreign Assets Control (OFAC) violations, conducted a client-focused review regarding the Panama Papers, performed daily testing of the firm’s trading activity to ensure compliance, and conducted initial and ongoing due diligence on current and prospective research providers. He also maintained the firm’s Code of Ethics Annual Certification Process and assisted senior compliance staff with drafting policies on gifts and political contributions.
Prior to this, Scott was an Analyst in the Market Regulation unit at Financial Industry Regulatory Authority (FINRA). While there, he ensured the efficiency of the surveillance infrastructure and data feeds for the firm’s regulatory service clients, conducted investigations of member firms for potential violations, reviewed trading activity, and helped to develop new surveillance patterns. He began his career as a Legal and Compliance Intern at SMBC Capital Markets and SMBC Securities Inc., where he focused on suspicious trading activity, surveillance, and OFAC and know your customer (KYC) reports.
- City University of New York, B.A. (with honors)
- The London School of Economics, M.S.