Nataliya Manina
Chief Compliance Officer /Senior Legal Counsel /AML BSA Officer at Cboe Digital- Claim this Profile
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Bio
Credentials
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Bar Admission: New York and Illinois
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Certified Fraud Examiner (CFE)
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Certified Public Accountant (CPA)
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FINRA Series 3
Financial Industry Regulatory Authority (FINRA)
Experience
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Cboe Digital
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United States
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Financial Services
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1 - 100 Employee
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Chief Compliance Officer /Senior Legal Counsel /AML BSA Officer
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Oct 2020 - Present
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UBS
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Switzerland
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Financial Services
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700 & Above Employee
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Attorney, Derivatives and Trading
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Jan 2020 - Sep 2020
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DrawBridge Lending
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United States
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Financial Services
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Managing Director - Legal, Compliance
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Jul 2018 - May 2019
Virtual currencies start-up Virtual currencies start-up
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G. H. Financials
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United Kingdom
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Financial Services
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1 - 100 Employee
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FCM Chief Compliance Officer
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Oct 2013 - Sep 2018
• Oversee firm's regulatory compliance with Commodity Exchange Act, U.S. Commodity Futures Trading Commission (CFTC), National Futures Association (NFA) and FinCEN regulations • Chief AML Officer for the company • Oversee firm's regulatory compliance with the rules of CME and ICE and other exchanges on which the company is a member • Prepare and present for the Board's approval annual CFTC 3.3 Chief Compliance Officer report • Attend and present at the quarterly board of directors meetings; prepare schedules of the documents for the board meetings that require updates, prepare board minutes and action logs • Draft and regularly update the firm’s Disclosure Document • Draft and regularly update compliance manuals, policies and procedures • Negotiate client agreements • Manage development and implementation of the CFTC Chapter 15 Ownership and Control Reporting automation • Coordinated implementation of Dodd-Frank Act and 2013 CFTC Enhanced Customer Protection Rules • Lead periodic regulatory DSRO and exchanges audits, AML and CFTC 1.11 Risk Management Program review • Manage routine and ad hoc market regulations investigations, liaise with clients and exchanges to ensure the appropriate actions are taken • Manage all U. S. registrations • Manage preparation and submission of all the appropriate regulatory filings in ORS, WinJammer and CFTC website • Manage the firm's reporting obligations on the firm's website • Review and approve the firm's promotional material • Manage the annual self-examination and Business Continuity Disaster Recovery (BCDR) review • Responsible for the new client due diligence, including NFA Bylaw 1101 and AML reviews • Processed CFTC 30.10 exemptions for the affiliated companies
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National Futures Association
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United States
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Financial Services
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400 - 500 Employee
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Compliance Examiner
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Nov 2010 - Oct 2013
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CME Group
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United States
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Financial Services
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700 & Above Employee
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Financial and Regulatory Surveillance Examiner
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Mar 2009 - Feb 2010
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Education
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Northwestern University Pritzker School of Law
Master of Laws - LLM with Honors -
DePaul University - Charles H. Kellstadt Graduate School of Business
Master of Business Administration (M.B.A.) -
Belarusian State University
LL.B. (JD equivalent) with Honors
Community
