Rick Schell Email & Phone Number

Automated Compliance Management LLC was founded by professionals in Compliance and Information Technology to help FCMs, Broker-Dealers, Retail Foreign Exchange Dealers and Swap Dealers meet the increased regulatory requirements mandated by the Dodd-Frank Act.ACM is a fully integrated cloud based system that enables Futures Commission Merchants,Swap Dealers.

Omaha, NE, US

Futures Commission Merchant – Headed compliance aspect of creating stand-alone FCM from combined broker dealer entity, allowing firm to focus specifically on futures related activities. Active Trader- Oversaw most dynamic, growing and profitable segment of retail securities business which represented 40% of overall daily average revenue trades.Risk.

Paris, FR

Responsible for Compliance in the Americas for an FCM with over 32 billion in customer segregated funds.Dodd-Frank – Created rules and requirements matrix to efficiently drive cross-functional project teams and ensure compliance with Swap Dealer and CFTC rules. In-depth understanding of rules and practical application.SEC Market Access Rule – Designed and.

London, England, GB

• Responsible for building compliance infrastructure and forming a team for an oil and gasoline trading businesses with over two billion in gross margin earned in 2007 and the largest NYMEX futures volume by any of the.
• Trading Surveillance Systems – Created a cost efficient transaction analysis system to monitor all exchange traded futures that has been subsequently recognized by the NYMEX and the CFTC as the best in the industry.
• Training – Utilized an innovative approach to training the business through the use of case studies and interaction to enhance the understanding and retention of key compliance concepts by the traders.
• Communications Surveillance – Developed a sophisticated suite of communications surveillance solutions, along with a tool that monitors voice recordings by separating words phonetically. Homeland Security utilizes.
• Industry/Regulatory Relationships – Served as Vice Chairman of the American Petroleum Institute Risk Control Committee, the committee membership of which includes Exxon, Shell, Chevron and Conoco Phillips. Instrumental.
• Federal Monitor – Extensive daily interaction with a federal monitor appointed by the government to insure compliance with a consent order and deferred prosecution agreement in connection with activity occurring prior.

Bs, Finance

Jd, Law