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YYYYYY X. YYYYYY

0000 xxxxxx xxxx , xxxx , xxxxx 00000 US

Phone: (xxx-xxx-xxxx

Phone xxx-xxx-xxxx

E-mail: abc@xyz.com

Country of Citizenship: USA

Veterans Preference Points: N/A

SSN: xxx-xx-xxxx

 

Vacancy Announcement Number: 09-104

Agency: Commodity Futures Trading Commission (CFTC)

Position: Supervisory Auditor

Series & Grade: CT 0511-14

 

 

Core Competencies

 

Registered Series 3/Commodities and Futures Contracts License; Auditing; Financial Review; Financial Oversight; Market Surveillance; Risk-Based Oversight; Risk Management; Security Management; Disaster Recovery Planning; Anti-Money Laundering Oversight; Self-Regulatory Organizations (SROs); Regulatory Compliance and Enforcement; NFA By-Laws; Commodity Exchange Act; Member Registration; Financial Reports Analysis; Financial Reporting; Investigation; Research; Operations Management; Project Administration; Strategic Planning; Administrative Operations; Human Resources; Performance Evaluation; Team Building; Team Supervision; Leadership; Records Maintenance; Arbitration; Negotiations; Communications

 

Professional Experience

 

Month/0000 xxxxxx xxxx , xxxx , xxxxx 00000

President/Owner/Principal Trader

Annual Compensation: $250K Salary + Commission

Hours per Week: 40-60

Supervisor: N/A C Self-Employed

As current President of successful Commodity Brokerage Firm/Introducing Brokerage, demonstrate comprehensive industry knowledge in steering full-scope operations; Registered Series 3, 1997-present. Senior Trader for one of California s largest Futures and Options Brokerage Firms, consistently ranking as Top Producer.   Successfully trade millions of dollars annually in commodity options.  Internationally-recognized Subject Matter Expert (SME) on trade and regulatory issues and serve as company Compliance and Enforcement Officer. Oversee membership registration, security management and anti-money laundering initiatives; maintain current, extensive knowledge of NFA Bylaws. Drive annual disaster recovery plan. Direct annual audits. Consistently satisfy yearly proficiency requirements.

 

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Yyyyyy x. yyyyyy                                      09-104                                             Page 2 of 2

 

Professional Experience continued:

 

 

Spearheaded launch of CyberCTA.com, 1999, as Online Commodity Trading Advisor, strategically expanding market penetration and business development. Proactively facilitate monthly Web-based seminars targeting hundreds of beginner traders.  Have contributed expertise as collaborative Presenter of online seminar sponsored by the Chicago Board of Trade (CBOT).  Diversified talents to provide trading commentary on local business broadcast channel, 1998-2000.  Have authored numerous articles for industry trade publications over course of career.

 

In charge of broad scope operations ranging from Human Resources, Business Development and Report Management to Fiscal Administration and Financial Reporting.  Proactively train, mentor and coach individuals to attain Licensed Broker credentialing.

 

Job-Related Training

 

CBOE Options Institute

Coursework: Completed numerous Advanced Options Courses

 

Licensures/Certifications/Credentials

 

Series 3 License (Commodities and Futures Contracts License); 1997 to Present

 

Organizations/Affiliations/Community Activities

 

Member, National Futures Association

Member, National Introducing Brokers Association

Member, Several Community-Focused Clubs/Organizations

President, California Foundation for Children in Foster Care; 2002-2006


 

 

 

 

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