Ryan Mcgriff Email & Phone Number

Chicago, Illinois, United States

Chicago, Illinois, United States

Chicago, Illinois, United States

● Monitor all futures transactions for potential disruptive trade practices utilizing SMARTS monitoringsystem, remaining in contact with broker base regarding any potential issues.● Maintain SMARTS system with bi-weekly calls with development team from SMARTS, adjustingparameters to eliminate potential noise and/or false positives, while ensuring troublesometransactions remained in scope.● Work with broker base to establish Self-Match Prevention utilization via tool offered by CME Groupin order to prevent cross and wash transactions.● Develop compliance-side logic for Position Manager program for purposes of maintaining onedatabase for any back-office transfers for purposes of identifying potential issues both at the time oftransfers and historically in a look-back capacity.● Review and approved back-office transfers.● Review and approved establishment of execution and give-up accounts.● Respond to Regulatory Requests via utilizing information readily available to compliance team, andin conjunction with Back Office departments such as Trade Platform Support, Processing, IT, andExecution Desk.● Monitor Last Trading Day and “Spot Limit” days across the board in conjunction with our deliveriesteam to ensure client base was exiting positions in a timely manner, and to avoid any regulatoryconflict in this regard.● Serve as Primary point of contact for troubleshooting with entire New York futures office andChicago Operations team.● Serve as Primary backup/support for wide scope of compliance functions, necessitating keepingabreast of company policies and industry rule updates/interpretations. This includes:○ On-Boarding of accounts○ Review of potential CTAs○ Promotional Review○ Trading While Under Margined Reviews

-Performed initial contact, review, and on-boarding for prospective introducing brokers-First review on media promotional material for all GIBs and in-house APs, including social media.-Reviewed third party audit reports and proceeded to ensure corrective action from GIB on any deficiencies-Trained and supervised staff of three compliance/new accounts employees-Provided final compliance approval on all domestic and foreign retail accounts-Developed GIB branch office audit procedures-Approved Disclosure Documents and Advisory Agreements for all CTAs trading at FCM.-Performed daily and monthly trade activity reviews for high-risk, managed and AP accounts. -Approved all trade movements and cash adjustments/credits.-Conducted on-site audits when third party auditor could not complete in allotted timeframe.

Conducted On-Site Compliance Audits for GIBs in Eastern half of US-Met with ADMIS Department heads prior to on-site audit to review any points of focus for each individual GIB.-Performed Trade Analysis of Discretionary and Proprietary trading accounts versus Customer Accounts.-Reviewed IB and customer documentation on-site to ensure full compliance with NFA and ADMIS requirements.-Prepared and issued Audit Report to GIB and ensured compliance with any corrective actions.

Chicago, Il

-Represented department in development and advancement of online application-Processed AML, Regulatory Request, and New Accounts documentation-Conducted Promotional Reviews for websites, commentary, seminars.

-Communicated market info to select brokers throughout the day.-Kept open dialogue with Risk department in event of market fluctuations to ensure floor trading was well margined.-Developed knowledge of inner-workings of trading floor; hand signals, synthetic trading, crush markets, etc.-Promoted to head of desk-Processed all AML, Regulatory Requests, and New Accounts documentation