Matthew Bauer Email & Phone Number

New York, Ny, Us

Greater New York City Area

Jersey City

Bedminster, Nj

• Review all company promotional material and Social Media (Facebook, Twitter, Youtube) prior to being released for public view.• Perform initial and quarterly reviews of all partner promotional materials, to ensure compliance with NFA and FSA rules• Review Sales/Customer Service calls, emails and chats with clients to ensure compliance with regulatory requirements set forth by NFA/CFTC on solciting new client relationships.• Perform due-diligence and background checks (KYC, AML… Show more • Review all company promotional material and Social Media (Facebook, Twitter, Youtube) prior to being released for public view.• Perform initial and quarterly reviews of all partner promotional materials, to ensure compliance with NFA and FSA rules• Review Sales/Customer Service calls, emails and chats with clients to ensure compliance with regulatory requirements set forth by NFA/CFTC on solciting new client relationships.• Perform due-diligence and background checks (KYC, AML, OFAC) on all new and existing partner relationships• Prepare customer trading reports for submission to NFA/CFTC for annual regulatory audits Show less

Vetting corporations and corporate officers in Due Diligence reports to weigh the risks of opening the accounts as well as making sure that the corporations as well as officers complied with NFA, CFTC and FSA regulations.- Analyzed Corporate documentation to continue the due diligence process to completely satisfy the company and regulatory requirements for opening corporate client relationships.- Worked closely with compliance representatives, to ensure that all corporate accounts… Show more Vetting corporations and corporate officers in Due Diligence reports to weigh the risks of opening the accounts as well as making sure that the corporations as well as officers complied with NFA, CFTC and FSA regulations.- Analyzed Corporate documentation to continue the due diligence process to completely satisfy the company and regulatory requirements for opening corporate client relationships.- Worked closely with compliance representatives, to ensure that all corporate accounts opened comply with company, United States, and International financial regulation.- Was given multiple corporate applications to vet at one time, expected to run Due Diligence reports on the corporation and it's officers and weigh the risks associated with each company/officer and decide whether to accept or deny the application. - Daily work load included running background checks through multiple due diligence tools to look for any negative findings that could represent a significant risk to the company. These included bankruptcies, tax liens, OFAC sanctions, SEC sanctions, Criminal History for corporate officers, and US Federal/State court filings.- Was able to work at a pace that allowed for maximum diligence for corporate vetting but also for a favorable customer experience in adhering to our 24-48 hour application process policy. - Analyzed new account documents (KYC) for adherence to compliance and Anti-Money Laundering policies and procedures.- Assisted in updating sales forecasting and maintained customer resource management tools. - Generated Volume reports for client trading activity, along with processing profit and loss calculations for Introducing Brokers and Authorized traders on a monthly basis Show less

- Worked in the contracts department, given classified level clearance to archive and assist with the structure and formation of weapons and communication system contracts.- Worked on a 3 person team of interns in archiving and labeling contracts for an entire department in preparation for an operating system upgrade. - Took on responsibility of testing new operating system in place to ensure that the archiving and labeling of contracts had taken place correctly and by the deadline… Show more - Worked in the contracts department, given classified level clearance to archive and assist with the structure and formation of weapons and communication system contracts.- Worked on a 3 person team of interns in archiving and labeling contracts for an entire department in preparation for an operating system upgrade. - Took on responsibility of testing new operating system in place to ensure that the archiving and labeling of contracts had taken place correctly and by the deadline given to myself and my team members.- Was commended along with my team by upper management in the headquarters located in the United Kingdom for taking on such a large responsibility and completing the task as ordered with a very small time frame upon which to complete it. Show less