Former FBI Special Agent
Certified Fraud Examiner
Acclaimed Thought Leader and Author of over 200 publications
Performed and overseen thousands of domestic and cross-border investigations
Extensive experience documenting insurance claims arising from financial crimes
Subject matter expertise in white collar crime, money laundering, FCPA, sanctions, fraud and investigative due diligence
Recipient of the President’s Award from Protiviti parent Company Robert Half International
Recipient of the Chairman’s Award, BDO Seidman LLP
Corporate Investigations, Regulatory Compliance, Forensic Accounting
Scott Moritz is a highly experienced investigations leader and regulatory compliance advisor based in New York. He provides turnkey investigative, financial analytical and compliance advisory services. Mr. Moritz served as an FBI Special Agent from 1986 to 1996 serving in the Memphis, Tennessee and New York City field offices. During his FBI tenure, he focused primarily on white collar crime, public corruption and money laundering investigations throughout the U.S. and internationally. His criminal investigative experience included bank fraud and embezzlement, fraud by wire, mail fraud, bribery, kickbacks, procurement fraud, payroll fraud, securities fraud, advance fee schemes, organized crime, criminal money laundering and boiler room operations.
He has extensive experience in the evaluation and remediation of corporate compliance and ethics programs including those focused on financial crime, anti-bribery and corruption, fraud risk management and anti-money laundering. He has led numerous AML and sanctions remediation projects for financial institutions including transaction lookbacks, Know Your Customer File remediations and sanctions screening scrubs for various types of institutions including retail banks, commercial banks, wholesale banks, investment banks, mutual funds and hedge funds. He has performed regulatory compliance, investigative and advisory work directly for numerous government and quasi-governmental agencies including the FBI, U.S. Marshall Service, U.S. Attorney’s Offices for the Eastern and Southern Districts of New York, New York District Attorney’s Office, Suffolk County District Attorney’s Office, Westchester County Solid Waste Commission, City of New York Department of Education, The State of Connecticut, The Town of Greenwich, Connecticut, the Federal Reserve Bank of New York and the United Nations.
As an FBI Special Agent, Mr. Moritz was involved in numerous criminal and civil forfeiture proceedings that included post-indictment restraining orders and the appointment of monitors. In several of those instances, Mr. Moritz participated in the monitor selection process along with the U.S Attorney’s Office. Mr. Moritz also worked closely with Court-appointed monitors when defendant companies were suspected of having violated the monitoring agreement, he investigated those cases and testified in various proceedings related to those investigations.
Subsequent to leaving the FBI, Mr. Moritz worked in support of the U.S. Attorney’s Offices in the Southern District of New York, Eastern District of New York and the New York County District Attorney’s Office in over 20 monitorships and receiverships arising from federal and state prosecutions of private sanitation companies charged with organized crime and money laundering violations related to traditional organized crime’s control over the private sanitation industry in the New York City metropolitan area. Mr. Moritz testified before the Westchester County New York Board of Legislators in a hearing that eventually led to a change in Westchester County law and the creation of the Westchester County Solid Waste Commission.
Upon leaving the FBI, he has worked for several top tier public accounting and risk consulting firms overseeing financial crime investigations of officer misconduct, bankruptcy fraud, securities fraud, bank fraud, kickback schemes, self-dealing, conflicts of interest, procurement fraud and theft of intellectual property. Most of the investigations he has led have been on behalf of publicly traded companies and their outside counsel and included substantive interaction with those organizations’ outside accounting firms, audit committees of the board of directors, regulatory and law enforcement agencies.
He is widely regarded as an expert in the performance and governance of internal investigations, forensic accounting analyses and regulatory compliance program remediation projects.
"SunHawk was an outstanding partner in the provision of interim leadership in compliance and internal audit for our organization. They provided seamless coverage and advancement of our compliance and internal audit functions. As CEO, I had no concerns or worries during our engagement. They were true partners for us!"
Alfred E. Pilong
President and CEO
"James and the SunHawk team have been an invaluable resource for our Compliance Office - they are a reliable, well experienced, trusted and knowledgeable team of professionals who at a moment’s notice will take your calls or respond to your emails.
Their advice helped us navigate the ever evolving, highly regulated healthcare industry! Whether it’s discussing report methodology or determining appropriate repayment, SunHawk provides the reassurance and confidence that you are doing the right thing!
We are honored to have partnered with SunHawk and will continue to do so in the future!"
Vice President/Chief Ethics, Compliance and Privacy Officer
Community Health System
"SunHawk’s professionals are leaders in the compliance and risk industries. Over the years I have worked with a number of their professionals on a series of projects/issues and learned SunHawk’s professionals are problem/solution-oriented and great coalition builders.
SunHawk Professionals get the job done and are a pleasure to work with. Commitment, Experience, Professionalism, and Integrity; that's what SunHawk Professionals brings to the table."
Vice President/Chief Ethics, Compliance and Privacy Officer
Phoenix Children's Hospital
"Jim Rough is among the most conscientious professionals I have encountered. When he says he is going to do something -- he does it. Jim has a broad range of experience gained over decades in leading organizations.
Now as the founder of his own firm, Jim will be enabled to provide the same high-quality service to his clients in a setting that allows greater customization to his clients' financial circumstances."
Frank M. Placenti
Chair, US Corporate Governance & Securities Regulation
Practice, Squire Patton Boggs
"SunHawk Consulting's HIPAA Check Program provided us with an invaluable third-party review of our HIPAA policies and practices. The tracking tool SunHawk includes with the Program has become an integral part of our continued monitoring for HIPAA compliance.
Jan Elezian's extensive hands-on compliance experience was evident during site visits and staff interviews as she translated difficult subject matter into practical use scenarios and provided quality feedback. Thank you SunHawk team!"
Vice President, Compliance
Chicanos Por La Causa, Inc.
"SunHawk provides an array of dynamic professionals, each with significant subject matter expertise and a problem-solver approach. Beyond their knowledge and conscientious work ethic, however, is a team of caring individuals who strive to furnish individualized, tailored assistance with a personal touch.
Jim Rough's dedication to the success of SunHawk clients is evidenced by his strategic and prospective thinking complemented by his ability to truly anticipate the needs of a company in the midst of the complicated compliance climate. I highly recommend SunHawk for companies of any size seeking actionable solutions and measurable results."
Vice President and Chief Compliance Officer
Paragon 28, Inc.
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SunHawk Consulting specializes in professional consulting services and has a team of highly skilled subject matter experts with substantial backgrounds in:
* Healthcare Compliance: statistical sampling & coding audit services, design and implementation of healthcare compliance programs, evaluation of compliance programs and risk assessments, HIPAA compliance risk assessments & training, corporate integrity agreement (CIA) board advisor, independent review organization (IRO) services, interim healthcare compliance support, physical security assessment;
* Corporate Investigations: fraud investigations and forensic accounting, anti-money laundering (AML), bank secrecy act (BSA), know your customer (KYC), foreign corrupt practices act, third-party due diligence;
* Corporate Compliance: Evaluation and Design of Corporate Compliance Programs, Interim Compliance Support, Compliance Risk Assessments, Physical Security Assessment, Enterprise Risk Management, Private Equity Governance, GRC System Support, Audit Function Support, Fraud Risk Assessments, Investigations Program Assessment and Enhancements, Qui Tam Investigations, Hot Line Support;
* Litigation Disputes: Complex Litigation and Disputes, Mergers and Acquisitions: Regulatory Due Diligence, Expert Witness, Statistical Analysis, Healthcare Payment Disputes, Litigation Support, Physical Security Assessment, and Neutral Party Data Analysis.