Manager Management

ROBERT A. FALK

* **** ****, ********* *****, New York 10567 Telephone: 914-***-**** E-

Mail: **********@*****.***

DERIVATIVE FUTURES OPERATIONS SPECIALIST

MBF Clearing Corp., New York, New York Vice President -Operations

Sept. 2004-Present

. General Manager responsible for risk management, customer relations,

compliance, operations and margins

. Oversee over 250 customer accounts with more than $100 million in

customer equity for this Futures Commission Merchant (FCM).

. Clients include hedgers of refined oil products, Commodity Trading

Advisors (CTAs) as well as high net worth individuals.

. Quantify proper risk limits for electronic trading based upon the

customer's net liquidating value held at the firm as well as known

outside assets. Use CME-SPAN margin system to determine net amount of

contracts to allow

. Evaluate customer positions in relation to market movements to determine

potential margin or cash issues

. Supervise and instruct margin staff of 5 who compares requests for funds

with margin requirements. Approve or deny requests for funds based upon

present margin conditions.

. Respond to inquiries from regulatory agencies and designated self-

regulatory organization (DSRO). Evaluate requested documents and report

irregularities to management

. Receive opening account documents and evaluate for adherence to Anti-

Money Laundering and Know Your Customer rules

. Analyze and oversee the reconciliation of fee invoices from each of the

New York commodity exchanges and the National Futures Association

. Assist clients in solving problems that they detect in their accounts

including incorrect prices or incorrect trades

Forecast Trading Group, LLC. Upper Saddle River, New Jersey

Consultant Nov 2002-Sept 2004

. Marketed and promoted this emerging Commodity Trading Advisor (CTA) and

futures Introducing Broker (IB)

. Traded both energy futures and grain futures based upon the strategic

model set by the CTA.

. Profits from trading and marketing of the fund brought the Assets under

Management from $2 million to $40 million.

. Used fundamental and technical analysis to convey trading strategies with

clients of the Introducing Broker.

. Reconciled top day and prior day trades to clearing firm statements

. Calculated margin requirements as well as profit and loss on a trade-by-

trade basis

Man Financial Inc., New York, New York Compliance Manager

2000-2002

. Audited, analyzed and reported on trading activity of both back office

and New York Mercantile Exchange floor trading desks. Assessed results

based on tolerance levels set by firm policy. Set discipline policies

and procedures with respect to violations of regulatory rules

. Assisted energy (natural gas, crude oil, heating oil and unleaded

gasoline) trading desks in proper execution and documentation of Exchange

for Physical transactions

. Responded to requests for documents from exchange and self-regulatory

organization compliance departments, as well as various government

agencies. Examined documents for impropriety and advised management of

any suspected issues based on such requests

. Responsible for special projects such as accumulating and evaluating data

involving delinquent accounts, moving exchange memberships among firm

affiliates and providing the managed funds group with an overview of

trading limitations

. Acted as liaison between the Chicago retail trading desk and New York

exchange floors to assist in resolving disputed trades

Fimat USA, Inc., New York, New York Manager-Natural Gas

Department 1998-2000

. Performed fundamental and technical analysis for financial, industrial

and institutional clientele using CQG

. Recommended investment strategies using both futures and options

. Recruited clients, generating up to 20% of company's daily trading volume

. Communicated to floor brokers clients' investment decisions, insuring

expedient execution of trades

. Supervised and trained junior representatives

Gerald Inc., New York, New York Floor Operations and Compliance

Manager 1983-1998

. Directed all aspects of Gerald's floor and office clearing operations,

including balancing of positions, daily resolution of uncleared trades,

discrepancies in customers' accounts, margin calls and brokerage

receivables and payables

. Increased company's revenue by 50% through personal client referrals

. Recommended position limits to firm's credit committee for incoming

clients

. Managed twenty-five floor brokers and clerical staff on the Commodities

Exchange Center floor for $150 million corporation

. Responsible for all staff training and evaluation

. Oversight and surveillance of floor traders and clerks to insure

compliance with all regulations of the futures exchanges and Commodity

Futures Trading Commission

. Monitored personal accounts of floor traders for any unusual activity

. Supervised back office trading desk activity to insure proper

documentation from clients' orders and communication of orders to the

trading floor

. As Trade Processing Room Manager, supervised staff of five in processing

Gerald's floor broker trades on the COMEX

EDUCATION & TRAINING

Baruch College, New York, New York M.B.A. - Business

Administration/Finance, May 1996

University of Delaware, Newark, Delaware Bachelors of Science -

Business Administration, May 1983

COMPUTER SOFTWARE

Microsoft Word, Excel and Visio

PROFESSIONAL ORGANIZATIONS & CERTIFICATIONS

National Futures Association-Commodities Futures Associated Person (Series

3)

Commodities Exchange Incorporated Member (1991-1998)

Futures Industry Association (FIA) Member (1990-1998), FIA Law and

Compliance Division Member (2000-Present)

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