After nearly 30 years in the industry, I have decided to retire - at least for now!

Retired

CalRock Brokers Inc.

Ensure compliance with regulatory obligations for Canadian and U.S. offices

Manage surveillance of brokerage activity

Review relevant legislation and regulations; both current and proposed/pending

Act as AML officer for the firm, including monitoring for AML/ATF issues with examination of OFAC, SEMA, and FinCEN lists.

Manage registration obligations for relevant staff

Continue work as Director, Market Regulation for Intercontinental Exchange / ICE NGX.

Chief Compliance Officer

Intercontinental Exchange

- Facilitate and co-ordinate projects and working groups for global compliance matters.

- Serve as a member of the ICE NGX (Calgary) legal / compliance team, and the ICE NGX management team.

- Act as liasion with regulators for various aspects of ICE's global regulatory reporting obligations.

- Provide advice and guidance on matters of surveillance, investigations, rulemaking, and disciplinary actions.

Director, Market Regulation

ICE Futures Canada

- Oversight of investigations, and supervision of compliance staff, at Canada's only commodity derivatives exchange.

- Development of Exchange rules and policies, in conjunction with Exchange committees.

- Ongoing research into methods and practices of worldwide derivatives markets, and recommendation of appropriate policy for the Exchange.

- Development and implementation of surveillance systems, in conjunction with IT departments in Winnipeg and Atlanta.

- Communication with Exchange membership with regard to Rules and policies.

- Liaison with domestic and foreign government regulators.

- Management of delivery & shipment process for Exchange contracts.

- Various work regarding operations and clearing.

- Primary responsibility for external education and outreach programs.

- Chief Compliance Officer for ICE Clear Canada

- Oversight of investigations, and supervision of compliance staff, at Canada's only commodity derivatives exchange.

- Development of Exchange rules and policies, in conjunction with Exchange committees.

- Ongoing research into methods and practices of worldwide derivatives markets, and recommendation of appropriate policy for the Exchange.

- Development and implementation of surveillance systems, in conjunction with IT departments in Winnipeg and Atlanta.

- Communication with Exchange membership with regard to Rules and policies.

- Liaison with domestic and foreign government regulators.

- Management of delivery & shipment process for Exchange contracts.

- Various work regarding operations and clearing.

- Primary responsibility for external education and outreach programs.

- Managed the Canadian Climate Exchange subsidiary for the Exchange (2004 - 2009)

Manager, Regulatory Division

Winnipeg Commodity Exchange

Arnold Bros Transport

Project Analyst

A motivated and hard-working professional, with extensive experience in derivatives, regulation / compliance, risk management, and training.

Specialties: Derivatives; compliance; regulation; education; training; clearing; agricultural risk management; energy risk management; GHG emissions trading.

Taplio

Steve Teller's Linkedin Analytics

Want to drive more opportunities from LinkedIn?

Taplio

.css-1jgreyo{background-image:linear-gradient(284deg, rgba(39,43,72,1) 0%, rgba(33,47,183,1) 100%);color:transparent;-webkit-background-clip:text;background-clip:text;}Steve Teller's Linkedin Analytics

Want to drive more opportunities from LinkedIn?

Steve Teller's Linkedin Analytics