Mark Arnold Email & Phone Number

New York, NY, US

Zurich, CH

Zurich, CH

Zurich, CH

• Oversee the Compliance and Operational Risk Control function for the international client advisory group within the US & Uruguay, Puerto Rico Broker-Dealer/Trust & Insurance Company, and Canadian bank and securities.
• Supervise the local Compliance and Operational Risk teams in each region and align enterprise resources where appropriate to ensure adequate support to fulfill Second Line of Defense (2LoD) mandates within the.
• Provide an independent view over operational risk-taking activities in the business and the relevant control frameworks to ensure that the business areas are operating within the agreed risk appetite and that there is.
• Advise on and ensure adequate execution of the Compliance Risk Assessments (CRA) by the Compliance function to determine the level of residual risk posed to the firm from regulatory requirements in light of the.
• Provide guidance and challenge to the 1LoD on their assessment of the inherent risks of the business lines and effectiveness of the controls during the Risk Control Self-Assessment (RCSA) process.
• Monitor the remediation of risks across all relevant business areas and ensure they are sustainably addressed.

Zurich, CH

• Designated by the Board of Directors to serve as the Chief Compliance Officer of the FCM, pursuant to CFTC Regulation §3.3.
• Function as an independent supervisory officer of the firm's compliance program, with the responsibility to ensure compliance with the firm's obligations under the Commodity Exchange Act and the CFTC's regulations.
• Ensure that any conflicts of interest of the entity are effectively mitigated and non-compliance issues are remediated.
• Certify the Annual CCO Report which describes the firm's compliance program, including any changes to it, resources dedicated to the program, material non-compliance issues and corresponding actions taken, and assesses.

Zurich, CH

Responsibility for:- Futures, Derivatives, and Research Compliance within Wealth Management Americas- Operational Risk Control for Capital Markets, Advisory Products, and Public Finance

Zurich, CH

• Built and managed the Futures and Derivatives Compliance team for the Wealth Management Americas division of UBS, in response to increasing regulatory requirements and a growing business.
• Monitor for new regulatory developments and determine their impact on the Firm from a business, operations, and IT perspective.
• Provide subject matter expertise to the firm on the Commodity Exchange Act and Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, as well as on the regulations promulgated thereunder.
• Provide subject matter expertise during regulatory exams and inquiries conducted by various regulators including the CFTC, NFA and futures exchanges.
• Prepare and maintain the firm's compliance policies and written supervisory procedures that pertain to the futures and OTC derivatives businesses.

Zurich, CH

• Primary compliance officer for UBS Wealth Management Americas covering the exchange-traded and over-the-counter (OTC) derivatives businesses, in addition to foreign currency (FX) and physical precious metals.
• Provide the trading desks, control functions, and the branch office sales network with guidance on transactions, compliance policies and procedures, and regulatory requirements.
• Provide day-to-day advisory and transactional support with respect to trade issues that arise.

Chicago, IL, US

• Review the implementation and interpretation of NFA Rules and CFTC Regulations, including analysis of financial condition and computation of capital requirements, performance calculation and presentation, disclosure.
• Provide guidance and enforcement of NFA Rules and CFTC Regulations to member firms’ officers and principals on a regular basis, while also analyzing the effectiveness of NFA Rules and interpretive notices and providing.
• Communicate performance expectations to staff, evaluate staff performance, and then issue evaluations to senior management.
• Manage and train staff auditors in developing skills necessary to fulfill job requirements and improve efficiency of investigations.
• Develop and present training on Commodity Futures and FX trading, auditing procedures, conducting Interviews, and fraud investigations to Compliance employees.

Chicago, IL, US

• Serve as the reviewer of audit and investigative work, to ensure the work is complete, effectively documented, and is held to department quality standards.
• Plan and implement action plans for NFA investigations, which includes organizing and managing a team of staff auditors and investigators through an audit, subsequent technical analysis, and the legal disciplinary case.
• Present findings of investigations to senior management and NFA attorneys, and recommend a course of action such as dismissal of the investigation, issuance of a warning or disciplinary action.
• Prepare cases to present to the Business Conduct Committee for the purpose of issuing disciplinary action against firms, and testify in case hearings when necessary.

Chicago, IL, US

• Selected to be placed on the Special Investigations Team as of September 2010, for the purpose of focusing on the firms and individuals that pose the highest amount of risk to both customers and the industry.
• Supervise teams of staff auditors during NFA examinations, and trained less-experienced staff to conduct testing in the field and complete general in-office work such as financial statement analysis and customer.

Chicago, IL, US

• Regularly monitor operations of NFA Members to detect and investigate areas of risk posed by firms.
• Perform audits and investigations of firms' trading activity, operational procedures, Anti-Money Laundering procedures, disclosure documents, and accounting practices, to ensure compliance with federal regulations.
• Analyze firms' and funds’ financial statements to ensure proper maintenance and categorization of capital, suspicious assets/liabilities, and reviewed for unusual changes or trends in account balances.
• Research GAAP Requirements, CFTC Regulations, and NFA Rules to problem-solve complex compliance issues and questions posed by NFA members, industry professionals, and the investing public.
• Review and investigate complaints received to determine if NFA Members have violated NFA Rules or CFTC Regulations.

Examined the organization’s needs in an attempt to eliminate deficit and maximize profits, Prepared financial reports, Invoiced and tracked income/expenses in QuickBooks, Solicited potential clients, Wrote and maintained client correspondence, Drafted and negotiated advertising contracts, Supervised business team members.In one year, I ended a decade-long.

US

Reviewed and processed invoices, Created and managed Excel spreadsheets, Reviewed and analyzed department’s expenses, Conducted vendor cost analysis, Corresponded with taxpayers inquiring about city refunds, Sent out refund checks, Collected and compiled documentation to support proposed budget item increases.

Guided and provided support to interns, Assembled case files, Managed criminal databases, Assisted attorneys, Prepared trial exhibits, Created and filed legal motions, Assisted with clerical duties, Dictation, Technology and media training.

Bba, Finance, Spanish

Spanish Lanuage & Literature