Malcolm Neal

Risk Analyst @U.S. Commodity Futures Trading Commission

Conduct financial analysis, risk assessments, and testing procedures in various test environments. Assess risk assessments that trade Bitcoin and other cryptocurrencies as well as audit trading companies that trade Bitcoin. Review governance policies and procedures as well as compliance programs and enterprise risk management. Create analytic spreadsheets to track fluctuations, averages, and financial activities. Create tools such as questionnaires to receive streamlined data from DCOs. Conduct analysis and establish threshold for reviewing financial document submissions. Design financial audit programs utilizing teammate streamlining audit processes to maximize efficiency. Generate written communication to various entities regarding policies, procedures, and system processes. Conduct research on virtual currencies (Bitcoin) and the implications of virtual currencies and the CFTC regulation on Bitcoin exchanges. Participate in the design, development, and testing of applications to be used during the examination process. Conduct examinations and assessments to evaluate compliance and assess various risk levels. Review DCO quarterly ad-hoc filings to determine compliance with the Commission regulations. Evaluate the DCOs arrangements for clearing, margining, and settlement of futures and options contracts as well as swap products under the jurisdiction of the CFTC. Assess and evaluate financial, counterparty and position risk at DCOs to identify market participants or systems that poses unusual levels of risk. Developed a financial audit program and utilized TeamMate self-audit management software to house the program resulting in the roll out of the financial audit program to the financial department. Successfully trained and assisted other departments using the audit program infrastructure to build out their audit programs within TeamMate.