Scott McCleskey

Scott McCleskey

Governance, Risk & Compliance Professional
Fee Range
Exact fee falls within this range
Traveling From
New Jersey

Program Descriptions

Ethics and Culture

The Tangible Side of Culture: How Ethics and Culture Impact Financial Performance
Culture is often dismissed as an intangible and inconsequential aspect to business. Through real-world examples, Scott McCleskey shows how culture can have a concrete impact – good and bad – on an organization’s bottom line.

Culture When the CEO Isn’t Looking: Metrics and Approaches to Assessing the Real State of Your Culture
The “Tone from the Top” of an organization is important, but day-to-day decisions in the heart of the organization may have little to do with the aspirations embodied in the Code of Conduct. Scott McCleskey discusses ways to assess the actual state of culture in an organization, what really drives behavior, and how to spot subcultures that could endanger the entire organization.

Incentives and Ethical Risk
Performance goals and incentives aren’t simply a management tool, they’re the single most important driver of behavior in an organization. Learn how they drive ethical (or unethical) decisions, how to evaluate the varying level of risk they may present, and how to use this understanding as a tool to manage ethical risk in your organization.

Compliance and Regulation

Managing Regulatory Change
Scandals, politics and technology have changed the regulatory landscape for many industries: the requirements aren’t just growing, they’re changing at an accelerating pace. Scott McCleskey, a former Chief Compliance Officer and former Global Head of Regulatory Intelligence at Thomson Reuters discusses how to anticipate regulatory change, implement new programs efficiently and effectively, and how to maintain a positive relationship with regulators.

Addressing Conflicts of Interest
Conflicts of Interest are unavoidable in any business and by themselves aren’t necessarily a bad thing. But left unattended, they can be the root cause of ethical problems that harm the reputation of your organization and hit your bottom line. Scott McCleskey leads listeners through the concept and pitfalls of conflicts, stresses the conflicts that are often overlooked by compliance programs. Using up-to-date real-world examples, he discusses how organizations can mitigate conflicts to avoid being the next headline.

The Department of Labor’s Fiduciary Rule
After four decades, the Department of Labor has made fundamental changes to the duties owed by financial professionals related to retirement accounts. Scott McCleskey unwinds the requirements and highlights the less-than-apparent issues that may arise for institutions covered by the rule, and discusses how to manage the process of coming into compliance with the new regulatory structure.

  • Over 25 years of professional experience in compliance and regulation

  • Expert in Financial Regulation

  • Publications include two books on financial regulation and an award-winning column on financial reform.
  • Biography Read more

    Scott McCleskey is a Governance, Risk and Compliance professional focusing on ethics and culture issues across a wide range of industries. In addition to over 25 years of experience in regulatory and compliance roles, he has served in the military, in federal law enforcement, and has been an award-winning journalist. He has worked in New York, Washington, Brussels and London and has provided advisory services around the world.

    Scott has worked with a number of audiences and clients regarding the practical aspects of ethics and culture, including issues such as: Using metrics to assess the real state of culture in your organization; Identifying sub-cultures in your organization which may work against your goals; Understanding incentive risk and how to address it; and Creating an ethical risk map of your organization. Consulting engagements have included recommending changes to the governance structure of a securities exchange and performing an enterprise-wide assessment of Conflicts of Interest oversight in a multinational financial institution.

    His publications include two books, several articles and an editorial column appearing on Thomson Reuters which won a national award from the Society of American Business Editors and Writers. He has also been published or quoted in The New York Times, The Wall Street Journal, Business Week, and other publications. He has spoken before Congress, the Financial Crisis Inquiry Commission, the London School of Economics and the European Central Bank and numerous professional conferences.

    Although Scott’s experience has focused on the financial services industry, he has spoken to audiences in a number of sectors. He has extensive experience in the regulatory process, having been in roles that drafted and enforced regulation as well as implementing large regulatory changes as Chief Compliance Officer and other senior roles in the industry. While serving as Global Head of Regulatory Intelligence at Thomson Reuters, he led efforts to analyze the impact of regulatory developments and to identify products and services that help reduce their impact on affected firms. He also serves on the Board of Advisors of a leading Ethics and Compliance solutions provider.

    Scott holds a Master’s degree in International Relations from the University of Cambridge and a Master’s degree in Financial Regulation and Compliance Management from London Guildhall University, as well as a Bachelor’s degree in Government from the College of William and Mary.

    Check Availability *

    *Same Business Day Response!

    Call Us 1-800-345-5607