Chief Compliance Officer

• Oct 2022 - Present

CCO and sole member of the compliance department for clearing FCM located in Chicago, Illinois. Multinational client base with large affiliated firms located in China and throughout the far east. Exchange and regulatory liaison in all matters. Charged with supervision and development of all company policies and procedures. Expertise in client AML as well as new customer onboarding and maintaining ongoing relationships. CCO and sole member of the compliance department for clearing FCM located in Chicago, Illinois. Multinational client base with large affiliated firms located in China and throughout the far east. Exchange and regulatory liaison in all matters. Charged with supervision and development of all company policies and procedures. Expertise in client AML as well as new customer onboarding and maintaining ongoing relationships.

Chief Compliance Officer

• Sep 2021 - Oct 2022

CCO and sole member of the compliance department for clearing FCM located in Chicago, Illinois. Multinational client base with large affiliated firms located in China and throughout the far east. Exchange and regulatory liaison in all matters. Charged with supervision and development of all company policies and procedures. Expertise in client AML as well as new customer onboarding and maintaining ongoing relationships. CCO and sole member of the compliance department for clearing FCM located in Chicago, Illinois. Multinational client base with large affiliated firms located in China and throughout the far east. Exchange and regulatory liaison in all matters. Charged with supervision and development of all company policies and procedures. Expertise in client AML as well as new customer onboarding and maintaining ongoing relationships.

Senior Compliance Officer

• Jan 2021 - Aug 2021

Manage and file all compliance related matters for RCM Securities broker/dealer. Liaison with all regulators and exchanges. Manage and file all compliance related matters for RCM Securities broker/dealer. Liaison with all regulators and exchanges.

Director, Sales and Execution Trader

• Nov 2020 - Aug 2021

Manage all aspects of new and existing customers, CTAs, and hedge funds for futures, derivatives, equities and cash markets. Originate new customer business and risk manage all aspects of customer accounts. Liaison with multiple FCMs, platform vendors and data providers. Expert in front, middle and back office operations. Experienced execution trader in Chinese, Asian, European and US markets. Manage all aspects of new and existing customers, CTAs, and hedge funds for futures, derivatives, equities and cash markets. Originate new customer business and risk manage all aspects of customer accounts. Liaison with multiple FCMs, platform vendors and data providers. Expert in front, middle and back office operations. Experienced execution trader in Chinese, Asian, European and US markets.

Market and Operational Risk Consultant

• Jul 2019 - Oct 2020

Consultant for start up trading company that offers cross margined multi asset trading platforms. Partnered with NetDania and CQG, Markets Direct offers customer platform trading in FX, Futures, ETFs, and US Equities. Liaised with trading partners to implement platform risk limits and controls. Developed firm risk manual and AML training procedures. Liaised with ASIC, CME, CFTC and global regulatory authorities to implement compliant operational and risk control procedures. Show less

Senior Market Risk Manager

• Jan 2009 - Nov 2018

Promoted to Senior Risk Manager in charge of managing 150+ traders at a $250M proprietary trading firm (Equities, Vix, Grains, Meats, Fixed Income, FX, Commodities) after four years of outstanding performance as a Senior Proprietary Trader. Managed all aspects of option trading portfolio strategies, operations, and risk mitigation across multiple product lines, including equities, cash, forwards, futures, and options. Oversaw P&L growth strategies, regulation of trader product limits, and spearheaded trader team performance. Assessed and implemented resource allocation among trading groups, evaluated performance, and ensured low latency and data-driven trading success. Coordinated with senior business partners and collaborated in risk reduction planning.Several achievements include:• Maintained low-risk, successful trading of $250M for nearly ten years with continuous profitability, while implementing team improvements.• Trusted with all firm limits across all asset classes with partnership accountability for overall risk levels and strategies.• Successfully oversaw firm risk and developed a reputation as an accurate and growth-focused strategist.• Liaised with senior partners and reported live firm P&L in addition to overall risk levels. Show less

Senior Proprietary Trader / Desk Manager

• Jan 2005 - Dec 2008

As a Senior Proprietary Trader, I exceled in initial position as a high-volume trader of foreign exchange cash and futures, equity indices, metals, energies, and commodities. I developed and implemented organizational trading strategies as a senior trader with responsibility for mentoring and training staff, ensuring high profitability, and mitigating losses and risks. I established reputation as a consummate trader and strategist in foreign exchange of over-the-counter and derivative products. I also successfully generated four years of positive trading profits and mentored junior traders Show less

Vice President / Sales Trader

• Jan 2000 - Dec 2004

Directed teams in generating high-volume retail sales and trade execution for IBs and customers. Developed and implemented trading strategies on cash, futures, options, and equities. Coordinated with traders, staff, and customers as a senior executive leader in charge of ensuring high quality global services while mitigating risks and losses/increasing overall profitability. Directed teams in generating high-volume retail sales and trade execution for IBs and customers. Developed and implemented trading strategies on cash, futures, options, and equities. Coordinated with traders, staff, and customers as a senior executive leader in charge of ensuring high quality global services while mitigating risks and losses/increasing overall profitability.

Senior Foreign Exchange Sales Trader / Desk Manager

• Jan 1998 - Dec 1999

Foreign Exchange Options Sales Trader / Risk Manager

• Jan 1995 - Dec 1997