Officer Sales
Resume:
MCGUINNESS
#4C Bronx, NY, *************@*****.**
m
10471
Compliance Officer
Solutions focused Compliance Officer with knowledge of current Dodd Frank regulations, as well as newly
created CFTC Ownership and Control Reporting (“OCR”) requirements. Demonstrated ability to identify
gaps and/or risk exposure within surveillance modules and meet strict deadlines. Team oriented player
with high attention to detail.
PROFESSIONAL
EXPERIENCE
JEFFRIES LLC (Futures Division) New York, NY
2009 to Present
Assistant Vice President
• Respond to market sensitive questions from traders on the Firm’s Metals, Sugar, Energy,
FX, Foods, and Agriculture desks.
• Research and respond to all domestic and international regulatory and exchange inquiries from
the CFTC, CME, ICE, NFA, and the MGEX.
• Assist in the preparation of CFTC Form 102 and the aggregation of accounts for position reporting
to the exchange and the CFTC, as well as participating in current OCR requirement calls, both
internal and external.
• Compliance point person for all annual examinations of the Futures division by our regulatory bodies.
• Daily surveillance reviews covering wash trades, spoofing, cross trades, pre arrange
trading, etc. utilizing NASDAQ’s SMARTSBroker tool.
• Key core team owner for the review, testing and risk analysis for the preparation of the Chief
Compliance Officer’s Annual Report for the FCM and RSD’s.
• Conduct annual on site branch examinations.
MERRILL LYNCH & CO., INC. New York, NY
1997 to 2008
Listed Compliance Officer & Market Surveillance Analyst
• Responded to real time compliance issues for the Listed Equity trading desk.
• Prepared written responses pertaining to NYSE inquires.
• Conducted reviews for compliance with Rules 92. 97. MOC. Wash Sales. LOD. LOP etc. .
• All dealings with examiners pertaining to the Firms annual NYSE floor FIN/OP exam
• Reviewed institutional Anti Money Laundering alerts
NASDAQ DTC Compliance Officer
• Responsible for the Firms Anti Trust Compliance requirement which involved listening to traders
conversations and holding semi annual meetings with trading personnel to review the
requirements set forth by the Department of Justice.
• Assisted with the collection and review of documents needed for the Firms annual NASD
“TMMS” Trading and Market Making Surveillance exam.
• Trading floor support at the market open, midday, and closing as well as fielding traders
question and handling customer complaints and requests from the NASD.
Analyst, Registration Department, Office of the General Counsel
• Responsible for all registration matters concern ng branch offices and managers as well as all
corporate filings on behalf of Merrill Lynch and its subsidiaries.
• Insured that all registered personnel within the firm adhere to federal, state and local rules
and regulations in cooperation with the compliance area.
• Daily communications with various regulatory agencies such as the SEC. NASD, NFA, NYSE, AMEX
in addition to the securities divisions of the United States. Said communications include written
correspondence and fielding telephone calls.
EDUCATION
ST. JOHN’S UNIVERSITY, Queens, NY – Bachelor of Science in Business Management
1996
Contact this candidate