Compliance Supervisors International Inc. (“CSI”), is excited to welcome John Brand to lead our Chicago Compliance Division. John is an excellent addition to CSI, and we look forward to leveraging his extensive and deep industry knowledge, with the current and ever-changing compliance and regulatory policies to better help our clients. Mr. Brand's compliance and examination experience spans across two decades, where he served in numerous compliance roles, most recently as Managing Director of Compliance at the National Futures Association.
Mr. Brand also held various compliance and Anti-Money Laundering Compliance positions in the FCM community and for a Derivatives Clearing Organization. He worked closely with futures industry participants in evaluating their internal controls, along with helping refine their processes and procedures as they relate to compliance, risk management and financial reporting. Mr. Brand has also supervised, trained, and developed compliance and risk management teams for those various institutions. A graduate of Illinois State University, Mr. Brand earned his B.A. in Finance and a minor in Accounting. He has successfully obtained the Certified Anti-Money Laundering Specialist (CAMS) designation, and completed the Series 3 and Series 7 examinations. In addition, John has served as an NFA Arbitrator.
CSI is the ideal choice for the futures industry as the firm that truly understands the complexities of alternative investments. Our Company continues with its mandate to better support our clients' needs and maintains its commitment to growing its presence within the futures investment community. John Brand located in Chicago will increase our accessibility to current and future clients. CSI will continue its endeavors to expand its resources into New York City, Greenwich, CT and Washington, DC.
About Compliance Supervisors International, Inc
The founders of CSI, both former compliance auditors with National Futures Association, have been providing industry professionals regulated by the CFTC and NFA, with superior service since 1994. The consulting business has grown in such a way over the last 20 years that CSI is widely known as the premier provider of compliance consulting for commodity futures professionals. A sample of our services are listed below. Please refer to our websites for more extensive information www.compliancesupervisors.com and www.training4futures.com
• Entity organization, registration with the CFTC/NFA, and preparation of policies and procedures;
• On-site mock NFA inspections for all CFTC Registrants and NFA Members;
• Monthly financial accounting and net capital computations for Introducing Brokers;
• Anti-Money Laundering audits;
• Certified Financial Statement audits;
• CTA disclosure document preparation and monthly performance and fee calculations;
• CPO fund accounting/administration, tax return and K-1 preparation; and,
• Cyber security reviews and training.
Some of the largest FCMs have relied upon CSI to carry out many critical compliance functions. CSI currently fosters relationships with many FCMs, and services a myriad of introducing brokers, commodity pool operators, and commodity trading advisors.
Please contact us at (914) 485-1805 or email Lorie@compliancesupervisors.com to discuss your needs.
