Image of Denys Dlaboha

Denys Dlaboha

Risk Compliance Officer

Director Compliance/Risk at Crédit Agricole Securities Inc.

New York City Metropolitan Area

Section title

Denys Dlaboha's Email Addresses & Phone Numbers

Denys Dlaboha's Work Experience

Mitsui & Co. Precious Metals Inc.

Risk Compliance Officer

April 2014 to December 2014

Greater New York City Area

Tullett Prebon

Compliance officer - Consultant

August 2013 to April 2014

Greater New York City Area

Citi

Compliance Consultant

May 2013 to August 2013

Greater New York City Area

Denys Dlaboha's Education

State University of New York at Albany

1999 to 2002

Denys Dlaboha's Professional Skills Radar Chart

Based on our findings, Denys Dlaboha is ...

Warm
Strategic
Talkative

What's on Denys Dlaboha's mind?

Based on our findings, Denys Dlaboha is ...

50% Left Brained
50% Right Brained

Denys Dlaboha's Estimated Salary Range

About Denys Dlaboha's Current Company

Mitsui & Co. Precious Metals Inc.

 Manage and maintain market surveillance/portfolio surveillance of Mitsui’s exchange traded futures and options, OTC Derivatives and other Contracts. Mitsui’s AML Compliance Officer – Manage the business’s onboarding department. Deal regularly with the NFA and CFTC on audits, examination, trade inquiry and investigations Registered and maintained the swap dealer as well as all it components within its...

Frequently Asked Questions about Denys Dlaboha

What company does Denys Dlaboha work for?

Denys Dlaboha works for Mitsui & Co. Precious Metals Inc.


What is Denys Dlaboha's role at Mitsui & Co. Precious Metals Inc.?

Denys Dlaboha is Risk Compliance Officer


What is Denys Dlaboha's personal email address?

Denys Dlaboha's personal email address is d****[email protected]


What is Denys Dlaboha's business email address?

Denys Dlaboha's business email address is d****[email protected]


What is Denys Dlaboha's Phone Number?

Denys Dlaboha's phone (212) ***-*155


What industry does Denys Dlaboha work in?

Denys Dlaboha works in the Financial Services industry.


About Denys Dlaboha

📖 Summary

Risk Compliance Officer @ Mitsui & Co. Precious Metals Inc.  Manage and maintain market surveillance/portfolio surveillance of Mitsui’s exchange traded futures and options, OTC Derivatives and other Contracts. Mitsui’s AML Compliance Officer – Manage the business’s onboarding department. Deal regularly with the NFA and CFTC on audits, examination, trade inquiry and investigations Registered and maintained the swap dealer as well as all it components within its compliance model Keep Mitsui up-to-date on all Dodd Frank initiatives. Write and update the business’s compliance policies and procedures of the swap dealer as well as the introducing broker; identify gaps in the business controls. Write and maintain the business compliance calendar and Mitsui’s regulatory filing requirements. Work closely with our technology team to implement automated trading systems. From April 2014 to December 2014 (9 months) Greater New York City AreaCompliance officer - Consultant @ Tullett Prebon  Market Surveillance and Regulatory Oversight Liaising with regulators and advising Executives, Managers and other staff on new product launches, promotional materials and best practices. Keep up-to-date on all Dodd-Frank proposed and final rules along with any additional rule changes pertaining to the SEC/FINRA and CFTC/NFA and The Commodity Exchange Act Team writing and implementation of policies/procedures/guidelines and controls of rules required for Swap Execution Facility (SEF) registration. Deal regularly with registered Swap Dealers and other financial institutions and give regulatory advice revolving the new CFTC/NFA rules. Conduct KYL/AML risk oversight for on-boarding of registered and unregistered/current and new customers. Review new ECP accounts for AML purposes. Verify ECP accounts. Assist in developing an audit/risk/control process for internal policies and procedures related to the SEF entity. From August 2013 to April 2014 (9 months) Greater New York City AreaCompliance Consultant @ Citi ▪ Conducting global enterprise portfolio reviews/KYC on-boarding involving high risk customers – multiregional.▪ Reviewing/conducting investigations/research of any red flagged action items.▪ Implement AML/KYC/OFAC guidelines and conduct complex data analysis and write and review suspicious activity reporting (SAR).▪ Conduct enhanced due diligence investigations in support of policies and procedures▪ Conduct investigation using global standard policies, procedures and tools, aimed at meeting internal and external regulatory requirements▪ Conduct risk assessment on incoming/existing portfolios; determine investigative and data analytics approach, mitigate corporate risk ▪ Coordinate with client as needed to identify additional information for GIU case analysis.▪ Review and implement policies and procedures pertaining to surveillance within the USA Patriot Act and the Dodd-Frank Act. From May 2013 to August 2013 (4 months) Greater New York City AreaCompliance Officer @ Ukrainian National Federal Credit Union ▪ Ensure/maintain/update/draft the institution’s compliance program and policies and procedures▪ Conduct internal risk assessment/controls implementation;▪ Develop/Conduct compliance training programs related to AML/KYC/CIP/BSA rules and regulations.▪ Conduct regulatory oversight/monitoring/investigations of the institution’s staff and portfolios to ensure compliance; with the institutions investment portfolios;▪ Ensure that any forensic monthly/annual audits that are conducted are completed as part of the institutions policy and procedures as well as rules and regulations that of the NCUA.▪ Implement Patriot Act, BSA/AML/KYC; rules and regulations in accordance with Dodd-Frank Act;▪ Maintain OFAC hit log and daily OFAC outstanding items log.▪ Review and analyze FinCEN 314(a) inquiries and potential hits. Transactional surveillance and SAR reporting▪ Track implementation of audit recommendations from regulatory examiners, and review sufficiency of underlying evidence From January 2012 to May 2013 (1 year 5 months) Greater New York City AreaCompliance Analyst @ Creditex ▪ Deal regularly with compliance material concerning the SEC, FINRA, CFTC, and NFA such as Securities Exchange Act of 1934, Commodity Exchange Act, and Investment Company Act of 1940; Investment Advisors Act of 1940; Form ADV; Form BD; Form PF knowledge▪ Reviewed company’s operating agreements; AML documents; policy and procedure manuals; employment agreements and other on-boarding requirements.▪ Constant review and updated of pending and final legislation of the Dodd-Frank Act.▪ Conduct background checks and on-boarding of newly registered representatives for company; monitoring and surveillance of registered representatives monthly outside business portfolio statements; email and other correspondences; OFAC; TRACE reporting; ▪ AML/KYC/OFAC/CIP review for customer on-boarding;▪ Production for FINRA/NFA audits and Prepare CFTC/NFA regulatory filings, including responses to regulatory inquiries;▪ Keeping up-to-date criteria pertaining to Dodd-Frank Bill.▪ Regulatory oversight with regards to the company’s Bond/Swap and Commodities/Futures desk to ensure control within CFTC/NFA guidelines and ensure compliance with CFTC/NFA swap dealer regulations. From July 2011 to September 2011 (3 months) New York, New YorkCompliance/Legal @ Sadis & Goldberg LLP Regulatory Specialist▪ AML/KYC/OFAC review for customer on-boarding for our client;▪ Obtained knowledge to upcoming regulatory requirements related to Dodd-Frank Act.▪ Extensive knowledge of blue sky laws/filings, Reg-D filings, Rule 506 Offerings▪ Deal regularly with compliance material concerning the SEC, FINRA, CFTC, and NFA such as Securities Exchange Act of 1934, Commodity Exchange Act, and Investment Company Act of 1940; Investment Advisors Act of 1940;▪ Acquired extensive understanding of issues such as disclosure, confidentiality, anti-money laundering and policies and procedures agreements▪ Prepared and filed registration forms and other required documents for CPO/CTA annual filings (Form 7R/8R; 4.13 exemption filings; disaster recovery; and annual questionnaires)▪ Monitor and maintain offering documents, placement memoranda, compliance manuals, and disclosure statements related to client funds▪ Extensive knowledge of registration documents for entities dealing with FINRA such as Form ADV (Parts I and II) documents for both SEC and state registered investment advisors; handle licensing registrations: Form U4/U5 filing along with Broker-Dealer registrations▪ Compile and submit data necessary to obtain regulatory approvals and attend team meetings related to regulatory issues, as well as communicate with associates and partners regarding actions required for filing and general compliance▪ Conducted standard due diligence reviews for members, partners, and principals of entities/funds; code of ethics review From December 2004 to July 2011 (6 years 8 months) Greater New York City AreaRisk Compliance Officer @ Crédit Agricole CIB Credit Agricole Securities Inc.Global Markets Division - ComplianceAP Swap DealerPanelist/Speaker: Financial Technologies Forum: SEF Execution; Derivatives Data/Trading; Collateral Management Advanced proficiency in derivatives/swaps and foreign exchange trading products; Regulatory trade advisor to global markets division in all US related derivatives and fixed income products Manage and maintain overall compliance program for Global Markets Division of the CIB; market surveillance/transactional surveillance and desk advisory of CACIB exchange/facility traded and OTC Derivatives. Deal regularly with regulators (such as NFA, CFTC, FRB) on audits, examination, trade inquiry and investigations Develop market surveillance models with respects to Fixed Income, Foreign Exchange and Derivatives trading activity; Write and update the business’s compliance policies and procedures of the swap dealer and the CIB in general, as well as implementing the banks policy and procedure on FX Global Code; Work closely with respective business lines in implementing operational compliance within the CIBs front, middle and back office systems impacted by Dodd-Frank and US exchange rules including but not limited to the banks give-up program for FX and derivative activity. Develop with the group Volcker Compliance and Surveillance Program for proprietary trading and investment activity Provide advice and risk impact for the businesses New Activity as well as currently impacted approved product or account dealing.  EMIR, MIFID II, MAR local country regulatory officer – design control and guidelines for clients within the US perimeter obligated to comply with EU regulatory rules. Greater New York City Area


Denys Dlaboha’s Personal Email Address, Business Email, and Phone Number

are curated by ContactOut on this page.

10x your recruitment & sales conversations

Contact over 200M professionals
instantly by email or phone. Reveal
personal & work email addresses, as
well as phone numbers accurately with
our ContactOut Chrome extension.

In a nutshell

Denys Dlaboha's Personality Type

Extraversion (E), Intuition (N), Feeling (F), Judging (J)

Average Tenure

1 year(s), 8 month(s)

Denys Dlaboha's Willingness to Change Jobs

Unlikely

Likely

Open to opportunity?

There's 92% chance that Denys Dlaboha is seeking for new opportunities

Denys Dlaboha's Social Media Links

/company/c... /redir/red...
Engage candidates 10x faster

Enjoy unlimited access and discover candidates outside of LinkedIn

Trusted by 400K users from

76% of Fortune 500 companies

Microsoft Nestle PWC JP Morgan Merck Rackspace WarnerMedia Randstad Yelp Google

The most accurate data ever

CCPA Compliant
GDPA Aligned
150M Personal Emails
300M Work Emails
50M Direct Dials
200M Professional Profiles
30M Company Profiles

Hire Anyone, Anywhere
with ContactOut today

Making remote or global hires? We can help.

  • 50 contacts/month
  • Works on standard LinkedIn only
  • Work emails, personal emails, mobile numbers
* 1 user per company limit

No credit card required

Try ContactOut for Free