Michael Miller Email & Phone Number

Chicago, Illinois, United States

Analyst on the Applicant Team. Examining Independent Brokers and FCMs to ensure initial compliance with CFTC and NFA Regulations.* Conduct Financial Analysis and background verification for soundness and NFA Net Cap requirements for the futures industry* Write reports and present findings to management for approval or denial of applicants* Conduct interviews with applicants * Financial Analysis and tracing of funds* AML compliance reviews* Business Disaster and Recovery… Show more Analyst on the Applicant Team. Examining Independent Brokers and FCMs to ensure initial compliance with CFTC and NFA Regulations.* Conduct Financial Analysis and background verification for soundness and NFA Net Cap requirements for the futures industry* Write reports and present findings to management for approval or denial of applicants* Conduct interviews with applicants * Financial Analysis and tracing of funds* AML compliance reviews* Business Disaster and Recovery Plan reviews* Certified Fraud Examiner* Passed Series 3 exam Show less

Reno, Nevada Area

* Conducted compliance examinations of various licensee types, including Collection Agencies, Payday and Title Lenders, Credit Unions, Check Cashers and Installment Lenders * Presented findings and recommendations to Management or the Board of respective licensees* Prepared reports to meet standards for the State of Nevada.* Attended training at the National Credit Union Administration (NCUA), including basic examination techniques, credit risk assessment, cyber security, consumer… Show more * Conducted compliance examinations of various licensee types, including Collection Agencies, Payday and Title Lenders, Credit Unions, Check Cashers and Installment Lenders * Presented findings and recommendations to Management or the Board of respective licensees* Prepared reports to meet standards for the State of Nevada.* Attended training at the National Credit Union Administration (NCUA), including basic examination techniques, credit risk assessment, cyber security, consumer and business loan reviews, and effective communication techniques* Performed bank account reconciliation* FDCA expert* Developed a spreadsheet for a new licensee type that saved unbillable hours for the examination by 50% Show less

Las Vegas, Nevada, United States

* Assisted with GL accounting* Performed account audits* Responsible for payroll entry* Vendor management* Purchasing and price negotiation