Sandra P Guerra
Rutherford,NJ
Summary
Detail-oriented Compliance Officer with 20 years of experience in Futures and Swaps. Expertise includes operations, accounting, trading, clearing, compliance, and client onboarding within Futures Commodities. Knowledgeable in regulations governing Futures and Options, with a focus on identifying critical issues and enhancing efficiencies. Strong problem-solver capable of multitasking in high-pressure environments.
Overview
22
22
years of professional experience
1
1
Certification
Work History
V.P FUTURES AND SWAPS COMPLIANCE OFFICER
CANTOR FITZGERALD
NYC, NY
06.2023 - Current
- Oversaw brokers to ensure compliance with company policies, applicable laws, and regulations, conducting investigations into potential breaches of these standards.
- Evaluated effectiveness of current processes and procedures for Future and Swap compliance, conducting regular internal audits to ensure adherence to established standards.
- I provide guidance on regulatory requirements pertinent to our business operations, and assess proposed modifications to laws or regulations that may impact our activities.
- Created specialized compliance training programs for Future and Swaps brokerage professionals.
- Revising our company IB manual with new, updated rules, and regulations as required.
- Served as intermediary between regulatory agencies, including National Futures Association (NFA) and Commodity Futures Trading Commission (CFTC), and internal departments to facilitate management of regulatory matters.
- Assist with audit responses, memos, regulatory filings, National Futures Association examinations, and inquiries from exchanges.
ENERGY TRADE SUPPORT MANAGER
TP ICAP
EDISON, NJ
11.2009 - 05.2023
- Meeting with CME, compliance, and market regulators to discuss new exchange rules and address any challenges.
- In addition, working alongside credit to create give-up documents for new and existing customers.
- Updating operational and front office databases to improve processes.
- Revising and meeting with our billing department regarding new rates as well as managing expirations.
- Cross-training team members on tasks performed, monthly late-night calendars, vacation requests, and quarterly performance reviews.
- Utilized critical thinking skills to analyze complex problems and develop effective solutions. and fast critical thinking skills to resolve trade breaks, and reconcile P&L, and rate discrepancies.
- Blocking all NYMEX, ICE, OTC Financial Swaps, and Options trades within the required reporting time.
- Overview of all new onboarding clients, reviewing and obtaining all initial documents of KYC.
- Initiating and all onboarding clients directly to the FIA Tech Client service system.
- Reconciled daily trades, resolved trade breaks, and allocated NYMEX, ICE, NODAL, and OTC trades on the exchange with a volume ranging from 500,000 to 1,000,000 trades per day.
BROKER SUPPORT/ INTERNATIONAL OPERATIONS
M.F.GLOBAL
NYC, NY
02.2004 - 08.2009
- I oversaw all trades executed by the desk, which included APS trades and taking orders.
- I provided customers with daily reports and quotes for various commodities such as crude oil, natural gas, rbob, silver, gold, platinum, palladium, coffee, sugar, cotton, orange juice, wheat, corn, soybean, Kansas City wheat, canola, rice, lean hogs, eurex, Mini S&P, FX, and LME.
- Resolved trade breaks, trade transfers, and top day accept and reject.
- I dealt with both US and International Markets.
- I also performed account maintenance on the GMI system, which involved handling trade breaks/entries, busts, adds, refills, price adjustments, monthly and yearly updates, commodity changes, and account changes.
- Additionally, I ensured prompt correction of all errors to minimize operational risk.
- I also handled the conversion of all FX deals to US currency and processed them.
- I managed Eurex Option expiration, solved trade breaks daily, and handled Ex-pits transfers of positions between brokerage firms.
- I maintained customer and house account positions and reconciled and point balanced based on Omnibus-based account statements for various firm exchanges such as ASX, SAFEX, TIFFE, MATIF, SIMEX, MEFF, NZX, HKE, EUREX, LME.
- I was responsible for training and developing new personnel and accountable for the profit and loss statement of the firm.
Education
Bachelor of Science - Business Management
New Jersey City University
Jersey City, NJ06.2022
Skills
- Interpersonal and communication skills
- Regulatory guidance
- Microsoft Office proficiency
- Problem solving
- Leadership abilities
- Attention to detail
- Organizational skills
- Poise under pressure
- Front and middle office operations
- Energy markets expertise
- Commodity markets knowledge
- Regulatory compliance
- Swaps and options trading
- Risk management strategies
- Corporate governance practices
- Compliance monitoring and surveillance
- Compliance training
Certification
SWAPS PROFICIENCY SHORT
Timeline
V.P FUTURES AND SWAPS COMPLIANCE OFFICER
CANTOR FITZGERALD
06.2023 - Current
ENERGY TRADE SUPPORT MANAGER
TP ICAP
11.2009 - 05.2023
BROKER SUPPORT/ INTERNATIONAL OPERATIONS
M.F.GLOBAL
02.2004 - 08.2009
Bachelor of Science - Business Management
New Jersey City University