New York City Metropolitan Area
Senior compliance executive with 25 years' experience and extensive knowledge in Commodities, Futures and Swaps. Exceptional knowledge in Compliance, Surveillance, Customer Relationship Management, Account Management, Clearing Services, Sales, Execution on Futures, Swaps, Options and Physical markets. Strong interpersonal skills with an ability to critically analyze and resolve complex issues within all levels of management. SKILLS AND STRENGTHS: • Extensive knowledge in commodity markets and Futures/Swaps compliance. • CFTC, NFA, CME and ICE Exchange rules and regulations. • Anti-Money Laundering, Know Your Customer, OFAC and FinCEN research. • Trading Technologies, Bloomberg, Cloud 9 and Global Relay platforms. • Operational excellence, continuous improvement, lean manufacturing methodologies and standard work. • High emotional intelligence, outstanding managerial, team building and time management skills. • Open to new and innovative ideas and suggestions, with a long-term vision and strategic thinking.
• Ensure that hourly union labor completes all daily job activities in a safe and efficient manner. • Can lead multiple departments with approximately 60 production associates as direct reports. • Encourage employees to challenge existing processes and implement solutions that improve the overall effectiveness of the operation, support and foster a culture of continuous improvement. • Monitor labor arrival times, paid time off, overtime authorization, and make any necessary changes to ensure that labor is properly identified on daily reports. • Maintain a daily PPE safety checklist and conduct regular Gemba walkthroughs to improve workplace safety and detect any potential hazards. • Use hands-on approach to communicate daily and involve employees in problem solving. • Promptly address any issues or concerns, gather relevant facts, and correct any day-to-day issues using independent judgment and discretion. • Provide technical expertise and give recommendations to the Engineering, Research and Development teams. • Ensure that the desired product quality levels are met by using standard work and training to those standards, as well as training in operation and inspection techniques. • Improve line flow cycle time, update and execute Front Line Management visual tools with PDCA's, balance charts and Kaizen events. • Monitor necessary equipment, ensure safety precautions are in place, and arrange preventative maintenance as needed. • Check and identify Critical to Quality (CTG) parameters on a daily basis to develop and deliver a high quality product.
• Led the Firm’s compliance program while provided the latest developments under the CFTC, NFA and Exchange rules and regulations. • Ensured that appropriate controls were in place to manage significant compliance risks by maintaining Written Supervisory Procedures for all business functions within the Firm. • Completed all NFA filings; annual renewals, questionnaires, AP registration or withdrawals and conducted NFA, Exchange inquiries and CFTC 4G requests. • Provided Futures, Swaps, and listed derivatives training to front office staff and guidance on the Firm’s policies, procedures and any regulatory matters. • Managed the Customer Identification Program; onboarded new clients, created AML reports and KYC files, initiated, and approved FIA-Tech Give-up agreements. • Communicated to the Firm’s FCM to reconcile monthly GPS cash adjustments, settled-up APS residual balances and arranged wire transfers. • Provided operational oversight of 200 employee front office staff and monitored potential market abuse and suspicious trading activity. • Performed Branch Office reviews and ensured that policies and procedures were concurrent across the Firm. • Built and maintained the company’s Business Continuity and Disaster Recovery Plan. • Monitored the archive registers, reviewed voice recordings, instant messages, emails, confirmations, and ticket retention. • Reviewed errors and maintained reports for accounting to include into the financial reports. • Mandate governance of the AML and Ethics training programs and assist in the annual AML audit. • Overall tenor without any exchange fines or penalties.
• Performed Futures execution and negotiated clearing and execution rates for new and existing clients. • Generated new capital for the Firm by executing trades electronically or bilaterally. • Enhanced relationships with clients by cross-selling within the Firm. • Established relationships with analysts and economists to develop new trading strategies. • Provided clients with updated market conditions and forecasted market trends. • Closely monitored world markets, followed financial news and geopolitical developments.