Robert M. Email & Phone Number

London, England, Gb

Regulation Manager for the Americas for one of the world's largest energy trading firms.

Consultant in the compliance, risk, investigations and regulatory space.

Chêne-Bougeries, Geneva, Ch

Global Head of Compliance for a multi-national agricultural trading and processing business with over 10,000 employees and operations in over 25 countries.• Responsible for all Ethics and Compliance matters globally and managed a budget of over $2M.• Interpreted, developed and implemented Policies and Procedures across the organization.• Special emphasis on Trading Regulation, Trade Sanctions, Anti-Money Laundering controls and Anti-Bribery and Corruption.• Continuously monitored and assessed regulatory change for impact on the business and control processes.• Constant engagement with regulators (CFTC, NFA) and Exchanges (CME, ICE, others).

New York, Ny, Us

Chief Compliance Officer for a provisionally registered Swap Dealer• Responsible for all Ethics and Compliance matters across the organization.• Recruited, trained and led a team of six compliance professionals.• Interpreted, developed and implemented Dodd-Frank Policies and Procedures across the organization.• Developed and filed the group's first Annual Report of the Chief Compliance Officer.• Served as primary point of contact for all exchange related matters, position limits issues, information requests and disciplinary matters.• Continuous engagement with regulators and exchanges.

London, England, Gb

Accountable for delivering the compliance framework across supply and trading activities for oil, financial, and derivative products in a manner consistent with BP’s policies and relevant laws and regulations.• Senior Compliance Advisor to the Global Oil Book, BP’s global crude oil trading platform, and the Gasoline Book, BP's North American gasoline trading platform;• Sole North American Compliance Advisor to the Global Options Book, a global multi-strategy options trading group;• Single Point of Accountability for Regulatory Oversight, including periodical reporting, investigations and quality assurance functions;• Sole North American Compliance Advisor to Treasury function and Q Book, a black-box trading model based out of London;• Provision of advice relating to proper compliance controls, Exchange rules, CEA requirements and Code of Conduct interpretations;• Oversight of compliance projects, policies and training;• Regular interaction with regulators (CFTC, FERC, FTC), various exchanges (CME, CBOT, CBOE, ICE, and others) and industry groups; and• Remain current with the regulatory environment and compliance concerns as a member of the CME and CBOT Probable Cause and Business Conduct Committees.

Independent consulting in the legal, audit and risk sectors.

• Independent Options Market Maker on the floor of the Chicago Board of Trade.• Volatility trading across the yield-curve, primarily from the 5-year Note options pit. • Started yield-curve arbitrage group and trained three traders in this area.

Chicago, Illinois, Us

• Traded options across the yield-curve, from the 5-year, 10-year, and 30-year Treasury Options Markets at the Chicago Board of Trade.• Responsible for overseeing numerous other traders and products.• Consistently profitable across product lines.• Firm exited interest rate products at close of 2002.

Chicago, Il, Us

Equity Options Trader, August 1998 - February 2002• Equity Options Market Maker on the floor of the Chicago Board Options Exchange.• Part of one of the largest trading firms in the Chicago area.• Traded equities included IBM, FFIV, PWER and others.• Accounted for roughly 20% of CBOE options volume in FFIV and PWER.Proprietary Trader• Traded broad-based derivatives portfolio using a trend-following model.• Trading included all major markets, both overseas and domestic, yield-curve trading, and various options strategies.

Doctor Of Law (J.D.), Law

B.S., Finance