Gregory Robstad
White Plains,NY
Summary
Results-driven Financial Operations professional with 13+ years of experience in regulatory reporting and compliance for CFTC-regulated entities, most notably Futures Commission Merchants (FCMs). Expert in preparing and submitting CFTC/NFA-required filings, including but not limited to daily segregation computations (Rules 1.20 & 30.7 and Part 22), net capital calculations (Rule 1.17), large trader reports (Part 17), and month-end FOCUS schedules for dually-registered Broker-Dealer/FCM (BofA Securities, Inc. - i.e., Balance Sheet, Income Statement, Segregation Statement, etc.). Proven track record ensuring accurate, timely submissions, managing exceptions, supporting regulatory exams/audits (CFTC, CME and NFA), and maintaining robust internal controls to mitigate operational and compliance risks. Strong analytical skills with deep knowledge of futures, options, and cleared derivatives operations.
Overview
14
14
years of professional experience
1
1
Certification
Work History
Director – Global Markets Operations
Bank of America
New York, NY
03.2015 - Current
- Manage a three-person team that prepare and file daily, weekly, monthly, quarterly, and ad-hoc regulatory reports for CFTC and CME compliance, including Form 1-FR-FCM financial statements, segregation/secured funds computations
- Perform variance analysis on reported figures, investigate and resolve breaks/exceptions in cash, positions, trades, margin, and collateral data to ensure accuracy and prevent regulatory violations.
- Own end-to-end exception management processes across front-to-back operations; triage issues, drive root-cause analysis, implement durable fixes, and reduce recurring breaks in-line with established policy standards.
- Lead CFTC, CME and various internal/external audits/exams by compiling documentation, responding to inquiries, preparing support schedules, and coordinating cross-functional teams (Finance, Risk, Operations, Compliance, Legal, etc.).
- Monitor regulatory changes (e.g., CFTC rule rewrites, NFA notices, FIA response letters) and assess/implement impacts on reporting processes and systems.
- Collaborate with IT and operations to enhance automated reporting workflows, data reconciliation tools, and controls for improved efficiency and audit readiness.
- Maintain detailed records and audit trails in compliance with CEA, CME rules, and internal policies; contribute to annual compliance reviews and risk assessments.
- Liaise with the Front Office to ensure prudent liquidity management as it relates to the firm’s excess funds and investment of customer fund portfolio.
- Provide various client segregation metrics and updates to key firm personnel through various governance forums.
- Drive operational efficiencies and simplifications within current processes that lead to time and cost savings for the firm (i.e., developed a prediction tool that enabled the business to realize a $3 MM+ cost-savings related to targeted excess funds)
- Assisted in the creation and consolidation of two Broker-Dealer / FCMs (BofA Securities & Merrill Lynch Professional Clearing Corporation)
Compliance Examiner - II
National Futures Association
New York, NY
04.2012 - 03.2015
- Conduct examinations, investigations, and financial surveillance to support NFA regulatory programs and ensure member compliance with NFA/CFTC rules.
- Perform on-site reviews of member books, records, and operational practices to assess business and financial compliance.
- Plan and scope examinations based on risk assessments and regulatory priorities.
- Lead and supervise teams of two to three examiners, providing guidance and reviewing work for accuracy and completeness.
- Analyze financial statements and assist member firms with regulatory filings and compliance inquiries.
- Investigate customer complaints, identify potential rule violations, and prepare evidence for disciplinary proceedings before the Business Conduct Committee.
- Communicate with the investing public and collaborate with senior staff and executives at NFA member firms.
Education
Bachelor of Science - Finance
University of Scranton
Scranton, PA05-2009
Skills
- Regulatory Knowledge: CFTC Regulations (117, 120, 122, 307, 58, Part 17), CME/NFA Rules, CEA, Form 1-FR-FCM, large trader/special account reporting
- Reporting & Tools: Excel (advanced: pivots, VBA/macros), FIS/SunGard/Proprietary FCM systems, AI Productivity Tools (Co-Pilot, ChatGPT)
- Verbal and written communication
- Relationship building
- Strategic planning
- Decision-making
- Project management
- People management
- Operations management
Certification
Series 3 / Certified Fraud Examiner
Timeline
Director – Global Markets Operations
Bank of America
03.2015 - Current
Compliance Examiner - II
National Futures Association
04.2012 - 03.2015
Bachelor of Science - Finance
University of Scranton