Gwenae Jackson

Applicant Examinations, Financial Surveillance and Investigations

• Reviewed financial statements, policies, procedures and reports to ensure compliance with NFA Rules, CFTC Regulations in conjunction with complex and challenging applicant examinations and determined if scoping changes were warranted based on information obtained.
• Followed up on and reviewed investigation matters for anomalies and possible non-compliance with NFA Rules and CFTC Regulations.
• Documented review, findings and resolutions in a clear concise manner.
• Identified and appropriately escalated areas of concern by obtaining an understanding of a Member's business objective, structure, policies, processes and internal controls.
• Communicated findings to Members, personnel, including alternatives for corrective action and suggestions for improving internal controls.
• Ensured that deficiencies were adequately reported to Members, and that appropriate corrective action was taken.
• Participated in planning meetings and scoping decisions.
• Adhered to agreed-upon deadlines and communicated effectively with reviewers to ensure mutual understanding of expectations.
• Collaborated with Managers and Legal Department to develop cases against Members for fraud and significant non-compliance.

Financial and Compliance Examinations

• Performed detailed examination testing and documentation of assigned areas.
• Set reasonable scopes, identified problems, researched the problems, and determined and obtained all necessary information from the clearing Member for completion of their assigned areas, with guidance from senior members of the examination team.
• Maintained the audit trail and ensured it was logical and organized.
• Identified and escalated any examination issues and problems.
• Prepared any examination issues and findings in a clear and concise manner.
• Collaborated with senior examination team member to present findings to the firm.
• Reviewed clearing Members' reconciliations, equity system documents, bank statements, trade registers and 1-FR/FOCUS Reports.
• Performed monthly and daily financial statement reviews, addressed issues with clearing Members, and documented findings on edit checks and alerts.

Financial Accounting

• Assisted Controller with financial reporting, accounts payable and receivable functions and budgets.
• Maintained general ledger and chart of accounts, performed complex accounting functions such as journal entry preparation, account analysis, reconciliations and preparation of monthly financial statements.
• Assisted with month-end closing process.
• Prepared company's financial reports and ancillary documentation in accordance with established policies and procedures.
• Contacted customers to collect outstanding payments, negotiated installment methods and processed payments.