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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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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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