Recent Posts by Scott Noah

Scott Noah has more than 35 years’ experience serving in senior legal and compliance roles in the financial services industry. He is currently Of Counsel at Stevens & Lee, a full-service law firm representing clients across the country. In this role, Mr. Noah provides legal and compliance advice to a broad range of financial institutions, with an emphasis on the investment advisory and broker-dealer arenas. Mr. Noah also serves as Chief Compliance Officer of Griffin Financial Group, Stevens & Lee’s broker-dealer affiliate.

Authority, Ability & Responsibility: Keys to CCO Liability

If you’re in Compliance, you know the crucial role that the Chief Compliance Officer plays in helping to maintain integrity in the securities industry and preventing violations. CCOs’ jobs are challenging enough given the wide range of obstacles they face day to day without having to routinely worry about whether simply carrying out their responsibilities will subject them to personal liability.

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