Brian Bedosky, Cpa Email & Phone Number

Compliance professional with regulatory and audit experiences from futures commission merchants (FCMs)/ broker dealers (BDs) and futures exchanges which has allowed me to enhance compliance oversight and surveillance programs.My analytical skills, research skills, ability to grasp new concepts, and communication skills have allowed me to create and update compliance policies, provide guidance on industry rules and regulations, conduct training, and improve controls and monitoring and surveillance activities. Performed various compliance testing procedures including compliance assessments, NFA Self-Examination Questionnaire, trade activity reviews, audit trail reviews, and branch office reviews. I conveyed findings and recommendations to Management, Branch Office Managers, and firm personnel. I provided significant input in the drafting of the annual Chief Compliance Officer Report.Acted as a regulatory liaison to regulators and internal auditors for inquiries, investigations, and audits/ examinations. I arranged meetings between external and internal auditors and the firm and drafted response letters to inquiries. I maintained the inquiry log. I documented and tracked issues found during audits, examinations, or reviews and their resolution. I supervised, planned, coordinated, and conducted various financial audits (1-FR and FOCUS Reports) of FCMs and BDs. I established the risk based scope rationale for audits, determined internal control weaknesses and rule violations, and prepared audit reports for Management and firm personnel.Assisted an exchange in obtaining CFTC designation approval as a Designated Contract Market. Instrumental in the creation and implementation of the financial surveillance program and audit trail review program.Provided significant input into the development and implementation of the Staff Auditor Training Program.Selected to be the Joint Audit Committee Representative.

Listed skills include Financial Regulation, Securities, Equity Trading, Swaps, and 13 others.