Sandra P. Guerra
Rutherford,NJ
Summary
Highly motivated and detail-oriented Futures and Options professional with 20 years of experience. Well versed in all areas of futures commodities, including operations, accounting, trading, clearing, compliance, and onboarding. Extensive knowledge of rules and regulations governing futures and options. Proven ability to identify key issues and improve efficiencies through extensive client relationship management experience. Effective problem-solving skills and adept at multitasking in high-pressure environments.
Overview
21
21
years of professional experience
1
1
Certification
Work History
V.P FUTURES AND SWAPS COMPLIANCE OFFICER
CANTOR FITZGERALD/ BGC GROUP
06.2023 - Current
- Conducted periodic compliance audits and reviews to identify areas of improvement.
- Created and maintained compliant work environment.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Collected detailed notes on investigations and other communication to adhere to legal requirements and enhance recordkeeping.
- Managed relationships with regulators, maintaining open lines of communication to ensure transparent operations.
- Maintained up-to-date knowledge of applicable laws and regulations.
- Developed and implemented corrective action plans for non-compliance issues.
- Promoted a culture of continuous improvement through ongoing evaluation and refinement of compliance program elements.
- Identified gaps in existing compliance processes and recommended updates.
- Warned violators of infractions or penalties.
- Developed training programs to increase employee awareness of compliance requirements and expectations.
- Collaborated with cross-functional teams to address compliance concerns, fostering a culture of shared responsibility.
- Demonstrated adaptability in response to evolving industry standards, maintaining best practices in a dynamic regulatory environment.
- Coordinated with external regulators to clarify compliance expectations and ensure company practices were fully aligned.
- Strengthened company reputation with development and implementation of effective compliance training program for all employees.
- Enhanced regulatory compliance by auditing and revising company policies and procedures.
- Facilitated communication between departments, ensuring timely updates on compliance changes and their impact on operations.
Operations Manager Energy Desk /Full-Service Execution (OTC, EFS & Futures)
TP ICAP NORTH AMERICA
11.2009 - 05.2023
- Meeting with CME compliance and CME market regulators to go over new rules on the exchange, as well as resolving any challenges
- Working alongside credit, and compliance to establish give up documents for new and existing customers
- Updating operational, and front office database to reinforce effective process
- Revising and meeting with the billing department regarding new rates as well as managing expirations
- Cross training team members on tasks preformed, monthly late-night calendars, vacation request and quarterly performance reviews
- Critical thinking and fast problem-solving skills to resolve trade breaks, reconciling P&L, and rate discrepancies
- Blocking all NYMEX, ICE, OTC Financial Swaps, and Options trades within the required reporting time
- Overview all new onboarding clients, reviewing and obtaining all initials documents of KYC
- Initiating and all onboarding clients directly to the FIA Tech Client service system
- Responsible for daily trade reconciliation, trade break resolution, and allocation for NYMEX, ICE Europe and OTC trades on the exchange ranging in volume from 300,00 to 500,000 trades per day
- Creating Macros & Pivot tables
- Supervised operations staff and kept employees compliant with company policies and procedures.
- Assisted in recruiting, hiring and training of team members.
- Empowered employees to take ownership of their responsibilities, leading to increased accountability and improved performance outcomes.
- Conducted regular performance reviews, identifying areas for improvement and developing action plans to address them.
- Conducted periodic compliance audits and reviews to identify areas of improvement.
- Created and maintained a compliant work environment.
- Assisted with internal audits to comply with the internal compliance team with applicable laws and regulations.
Operation /Broker Support
JBDRAX HONORE
02.2009 - 08.2009
- Responsible for trades clearing through various exchange on CBOT, CME, LIFFE, ICE, EUREX on Market Watch
- Responsible for allocation of all trades executed and trade break resolution
- Monitored unmatched sales for quick resolution to minimize financial loss for crude oil, nat gas, rbob, silver, gold, platinum, palladium, coffee, sugar, cotton, oj, wheat, corn, soybean, Kansas City Wheat, canola, rice, lean hogs, eurex , fx, & lme
Broker Support
MFGlobal USA Holdings Inc.
03.2007 - 02.2009
- Allocated all trades executed by the desk including APS trades/taking orders
- Supplied the customer with daily reports and quotes of choice crude oil, Nat Gas, rbob, silver, gold, platinum, palladium, coffee, sugar, cotton, oj, wheat, corn, soybean, Kansas city wheat, canola, rice, lean hogs, eurex , Mini S&P , fx, and lme
- Responsible for all trade break resolutions, trade transfers, top day accept and reject
- Dealt with US Markets as well as International Markets
- Developed and maintained strong knowledge of multiple products and varying levels of benefits within each product.
- Adapted quickly to changing market conditions, adjusting client strategies accordingly while maintaining open lines of communication throughout periods of uncertainty.
- Completed training programs to remain updated and further develop proficiency of important industry information.
International Operations
02.2004 - 03.2007
- Preformed account maintenance- trade break/entry, bust, add, refill, price, month, year, commodity and account change on the GMI system ensuring that all errors were corrected on timely fashion reducing operational risk
- Converted all FX deals to US currency/ Processed all Eurex Option expiration
- Solved trade breaks daily along with Ex-pits transfers of positions between brokerage firms
- As well as maintaining customer and house account positions
- Reconciled and point balanced based on Omnibus based account statements for the entire firm exchanges such as: ASX, SAFEX, TIFFE, MATIF, SIMEX, MEFF, NZX, HKE, EUREX , LME
- Responsible for training and development of new personnel
- Accountable for the profit and loss statement of the firm
Education
B.A - Business Management
NJCU University
Jersey City, NJ01.2022
Skills
- Word
- Excel
- Access
- PowerPoint
- Outlook
- GMI
- TEO
- FEC
- CME clearport/direct
- ICE block
- TMS
- CQG
- EGUS
- PTMS
- Bloomberg
- ACT
- ECS
- NODAL
- NFA Regulatory Filing System
- Refinitiv Eikon trading applications
- Data & Analytics
- FIA TECH
- Fluent in Spanish
- Compliance monitoring
- Auditing processes
- Document review
- Regulations enforcement
- Corporate governance
- Anti-money laundering
- Federal and state regulations
- Documentation review
- Compliance procedures
- Compliance reporting
- Records management
- Document control
- Compliance training
- Critical thinking
- Operations management
- Compliance reviews
- Investigations skills
- Industry awareness
- Audit documentation
- Report preparation
- Activity monitoring
- Violation reporting
Certification
- SWAPS PROFICIENCY, NFA, JAN 2024
Languages
Spanish
Full Professional
Timeline
V.P FUTURES AND SWAPS COMPLIANCE OFFICER
CANTOR FITZGERALD/ BGC GROUP
06.2023 - Current
Operations Manager Energy Desk /Full-Service Execution (OTC, EFS & Futures)
TP ICAP NORTH AMERICA
11.2009 - 05.2023
Operation /Broker Support
JBDRAX HONORE
02.2009 - 08.2009
Broker Support
MFGlobal USA Holdings Inc.
03.2007 - 02.2009
International Operations
02.2004 - 03.2007
- SWAPS PROFICIENCY, NFA, JAN 2024
B.A - Business Management
NJCU University
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