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.

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;

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.

Doctor Of Law (J.D.), Law

B.S., Finance