Dawn Lowe Email & Phone Number

Nyc

Manage and supervise back-office staff for this independent, commodity futures trading/clearing firm. Project Manager for implementation of new trading strategies and other new business initiatives.Responsible for administration of and compliance with all regulatory requirements (FINRA, CFTC) for the firm as well as its affiliated proprietary trading unit and its CTA. AML/Ethics Officer - implement practices to ensure that all AML/ethics requirements are met. Human Resources - administer all HR functions for the firm, as well as its four affiliated companies. Negotiate contracts with third-party administrators for payroll, health insurance plans, 401(K), etc.

Responsible for the oversight, development and administration of the Office of the Corporate Secretary and the Member Services Dept. Developed and implemented procedures to assure compliance with various governmental oversight agency requirements as well as the By-Laws, Rules and Regulations of the Exchange related to the governance, admission and tenure of all members and member firms. Reported directly to the Chief Legal Counsel. Essential Duties:• Coordinate, prepare and disseminate the agenda and materials for all Board and Committee meetings. Attend and prepare minutes for all meetings of the Board of Directors, Executive, Finance, Audit, Compensation and Special Committees. Prepare/maintain confidential and “executive session” materials for the Chairman of the Board, the Board of Directors and Executive Committee. • Direct all activities with respect to preparation and conduct of annual and special meetings of members/shareholders, annual election of Directors and appointment of members to all regular and special committees of the Exchange. Significant involvement in two mergers, changing structure from a not-for-profit to a for-profit organization and later changing from a privately held organization to a publically traded company.• Represent the Exchange by responding to inquiries/resolving disputed matters from members, shareholders, government agencies, legal representatives, etc. Prepare and distribute all official notices via the electronic Notice to Members portal. • Oversee the seat sale process, order and review confidential background checks on all applicants, conduct financial review and make recommendations on applications for Exchange-sponsored seat financing, coordinate member benefit programs including life insurance and pension program. Independently administer the purchase/sale of all Exchange stock transactions during the pre-public transitional period.