Scott Kallback
Colorado Springs,CO
Summary
Dynamic compliance leader with extensive experience at Inspira Financial, adept at developing robust financial crime compliance strategies and mentoring teams. Proven expertise in AML investigations and regulatory compliance, driving governance frameworks that enhance oversight. Recognized for effective collaboration with stakeholders and leading successful M&A due diligence processes.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Senior Director, Compliance
Inspira Financial, LLC
Oak Brook, IL
06.2014 - Current
- Spearheaded compliance governance and risk management strategies, ensuring adherence to regulatory requirements across all financial services and payment operations
- Directed AML and SAR reviews, analyzing suspicious activities to combat financial crimes
- Collaborated with Legal, Risk, and Operations departments to ensure a unified and effective approach to financial crime compliance
- Led the training and mentoring of compliance professionals to foster a skilled workforce
- Developed and implemented governance frameworks, including risk assessment models and internal control structures, enhancing oversight of financial activities
- Developed internal advisory compliance programs, aligning them with regulatory frameworks
- Built and maintained relationships with external stakeholders, including industry peers and regulatory bodies, to stay informed of emerging trends and best practices
- Led compliance governance and risk management strategies to meet regulatory standards across financial services
- Coordinated M&A due diligence processes, ensuring seamless integration of entities
- Coordinated interactions between target entities and Inspira stakeholders in relation to financial crimes compliance
- Created and coordinated internal Compliance training including Fraud, AML, and Code of Conduct training
Senior Compliance Associate
NYSE EURONEXT
Chicago, IL
01.2011 - 06.2014
- Managed daily compliance operations, ensuring adherence to FINRA, SEC, and exchange rules
- Developed and implemented an enterprise-wide Compliance Training Program, promoting ethical behavior and regulatory compliance
- Conducted regulatory inquiries and audits, collaborating with internal and external stakeholders to maintain compliance integrity
- Oversaw electronic communication monitoring to prevent insider trading and market abuse
Staff Auditor II
National Futures Association
Chicago, IL
08.2008 - 01.2011
- Conducted comprehensive onsite audits to identify and address compliance issues, ensuring that firms met regulatory obligations in the futures and commodities markets
- Collaborated with NFA Members and CFTC registered firms to review and validate the effectiveness of policies and procedures in meeting stringent industry regulatory standards
Education
Master of Business Administration (MBA) - Business Management
DePaul University
05.2006
Bachelor of Business Administration (BBA) - Business & Economics
St. Norbert College
05.2003
Skills
- AML Investigations & SAR Management
- Financial Crime Compliance Strategy
- Regulatory Compliance & Risk Management
- Team Mentoring & Talent Development
- Compliance Technology Integration
- Regulatory Examination Leadership
- Fraud Detection and Prevention
- Governance Framework Development
- Strategic Compliance Program Management
- Mergers & Acquisitions Due Diligence
Certification
- Certified Compliance & Ethics Professional (CCEP)
- Certified Anti-Money Laundering Specialist (CAMS)
Timeline
Senior Director, Compliance
Inspira Financial, LLC
06.2014 - Current
Senior Compliance Associate
NYSE EURONEXT
01.2011 - 06.2014
Staff Auditor II
National Futures Association
08.2008 - 01.2011
Master of Business Administration (MBA) - Business Management
DePaul University
Bachelor of Business Administration (BBA) - Business & Economics
St. Norbert College
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