Mr. Brown advises clients on swap dealer and security-based swap dealer compliance projects addressing the relevant provisions of Title VII of the Dodd-Frank Act. His projects include the assessment, drafting, and revision of policies and procedures, assessing and implementing swap dealer and security-based swap dealer operational and compliance frameworks, reviewing and testing compliance related control processes, and establishing governance structures to support effective compliance programs. Specific areas of review include business conduct standards, trade and e-communication surveillance, swap data reporting, capital, margin, risk, segregation, and additional CFTC or National Futures Association (NFA) requirements. He also works on compliance reviews and regulatory assessments for broker-dealers, swap dealers, and security-based swap dealers in the digital asset space, including interviewing firm personnel, enhancing policies and procedures, performing gap analyses against existing regulatory frameworks, and issuing recommendations for rule applicability and compliance program enhancement.
Mr. Brown previously served as a manager at NFA. In this capacity, he led a team of examiners in completing examinations, investigations, and regulatory inquiries of registered swap dealers and futures commission merchants. He also created exam modules utilized by examiners, drafted internal guidance, and prepared and provided training to staff on new and amended regulatory requirements.
He received both his Bachelor of Science (BS) and Master of Science (MS) in Accounting from St. John’s University in New York.