Manager Customer Service
Resume:
James Rynes
South Elgin, Illinois 60177
Home 847-***-****
Cell 847-***-****
Professional Background
FCStone, LLC, Chicago, Illinois 2007 to 2012
New Accounts Manager
I was hired as the Assisstant New Accounts Manager and promoted to the New Accounts Manager. Reviewed all new accounts to assure that account documentation was complete. Also reviewed new accounts for AML. Designed a program for monitoring managed accounts. Made revisions to the customer account forms including the addition of a form to identify officers, managers and others for AML checking. Managed a number of special projects including cleaning up group accounts and closing inactive accounts.
Puma Financial LLC, Chicago, Illinois 2006 to 2007
Senior Compliance Manager. Responsibilities: Providing regulatory compliance for the firm’s GIBs AML Compliance Officer. Setting firm AML policy and assuring that the firm and GIBs follow the policies. Prepared firm’s Business Continuity and Disaster Recovery, Customer account agreements and other internal forms the firm will need.
Alaron Trading Corporation, Chicago, Illinois 2004 to 2006
Compliance Officer. Responsibilities: Provide regulatory compliance over firms AP’s & GIB’s. Designed a computer program using third party software to maintain a complete list of discretionary and letter of direction accounts and monitor the activity in the discretionary and letter of direction customer accounts. File 102’s for CFTC, CME & CBOT. Handle registrations and terminations for the firm and branches as well as some of the GIB’s in NFA ORS, submit U10’s, NFA registration fees and fingerprint cards. Review promotional material for GIB’s. Handle customer complaints and NFA arbitrations, CFTC reparations. Monitor Government websites for updates on FinCen Ofac (uncooperative countries or sanctions). Responsible for the scheduling audits for GIB’s and follow up on internal audits. Assist IBs in preparation for their NFA and internal audits. Update policies and procedures for AML, ethics training and disaster recovery as needed. Work with the regulatory agencies on 4g requests and subpoenas. Research fee problems and account creation problems. Responsible for the compliance audit from the CME and other regulatory bodies.
Lenscrafters, West Dundee, Illinois 1994 to 2003
Optician. Sold, fitted, repaired and analyzed problems customers were having with their glasses and made corrections.
• Received five President’s awards for exceptional customer service.
Professional Market Brokerage, Inc., Chicago, Illinois 1997 to 2002
Vice President of Compliance. Responsible for assuring the firm was in compliance with Commodity Futures Trading Commission and National Futures Association Regulations. Areas of responsibility included:
• Proper registration of people within the firm and people and firms with whom we conducted business.
• Managed New Accounts Department. Reviewed and approved all new accounts.
• Monitored the trading in discretionary accounts and the accounts of people affiliated with the firm.
• Reviewed and approved all promotional materials.
• Reviewed and resolved customer complaints.
• Represented the firm and brokers in NFA arbitrations.
After the assets of the firm were sold I assisted in shutting down the firm by selling furniture and equipment, records storage and canceling of contracts
E. D. & F. Man International Futures, Inc., Chicago, Illinois 1990 to 1994
Compliance Manager. Assisted in the transition from GNP Commodities to E. D. & F. Man, including the reviewing of policies and procedures of both firms to assure that the firm was in compliance, re-papering of all customer accounts. Reviewed and monitored employee trading accounts and accounts designated by senior management as needing additional supervision. Reviewed, evaluated and processed government and exchange inquiries and document requests. Conducted extensive review of employee trading activity to assure that there were no instances of front running or tailgating.
• Floor order tickets were prepared and processed in compliance with applicable exchange rules. CTR errors were reduced from approximately 200% to less than 5%. Subsequently the firm was exempted from further exchange CTR audits.
• Traders were not exceeding assigned trading limits for EFP trading.
• Successfully represented the firm in exchange arbitration.
• Reviewed CTA/CPO disclosure Documents, checked registrations and verified that all disclosures had been filed with the CFTC and NFA.
GNP Commodities, Inc., Chicago, Illinois 1989 to 1990
Director of Compliance. Coordinated the firm’s compliance efforts while expanding and fine-tuning the existing compliance program. Initiated audits of introducing brokers with an audit program that I wrote. Successfully represented the firm in arbitrations. Established controls and procedures to assure:
• Account switches were justified and properly documented. Managed New Accounts Department.
• Daily trading activity was not excessive, options were traded only in accounts approved for option trading and that customers were not speculating in hedge accounts.
• The firm conducted business only with properly registered firms and individuals.
• Reviewed CTA/CPO disclosure documents.
• New accounts were reviewed, approved and all documentation was properly completed.
• Reviewed promotional materials to assure that they were in compliance with National Futures Association rules.
Military U. S. Air Force
Awarded Air Force Commendation Medal.
Education
Northeastern Illinois University
BA, Economics
License
Series 3
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