CV Compliance (AML/KYC/Sanctions)

Daniel R Butler

Email:            DanielButler@gmx.com

Telephone:  +420 606 213 523

LinkedIn:      www.LinkedIn.com/in/DanielButler


CAREER SUMMARY

Professional financial operations executive with wide-ranging, global financial regulatory and compliance knowledge, from experience in debt, equity and commodity instruments and associated payment systems. Strong organization skills and proactive in developing programs, controls, instituting change and investigation procedures, for client and counter-party due diligence. Culturally aware, professionally adept in verbal and written communication, presentation skills, negotiations and research activities; living experience on 3 continents, most recently 6 nations in Europe over the last 20 years. A natural investigator with a concise attention to detail, as well as a politically astute, problem solving, mind.


APPLICABLE EXPERIENCE HIGHLIGHTS

  • Researched and reported on, global areas with restrictive Sanctions,
  • Developed initial AML/KYC procedures in three organizations,
  • Designed and packaged KYC information for secure data room transfer,
  • Performed settlement investigations for payments via SWIFT to global counter-parties and customers,
  • Strong familiarity with BSA/AML-KYC, SAR, Due Diligence operations; satisfactory familiarity with OFAC, HM Treasury, & EU sanctions regimes (self-taught).

PROFESSIONAL EXPERIENCE

(1) Melbourne Consulting, Prague (www.melbournesro.com)
CONSULTANT, 01/2015 to Present
Private consultant and Introducing Broker for energy, renewable and nanomaterial sales. Also acted as paid consultant to an international charity for special needs children; currently pro-bono board member (www.smilingcrocodile.org).
* Advised renewable battery on Fund Raising, AML and international Sanctions as well as overall regulatory environment;
* Ran roadshows in California and Washington State(s) for Czech software firm;
* Introduced international energy clients to setting-up service providers for local Virtual Point.
– Achieved self-supporting consulting service with small client base.

(2) MND Natural Gas Desk, Prague (www.mnd.eu)
SENIOR TRADER, BUSINESS DEVELOPMENT 06/2011 to 11/2014
Third individual hired to assist in Natural Gas desk build process. Responsible for all facets of market liquidity in EMEA, CEE and Western regions: framework agreements, exchange memberships, custodian negotiations, clearing house preparation and Inter-Dealer Broker services. Main point of contact for energy framework master agreement (EFET) and credit negotiations. Mentored junior colleagues on first international marketing trips along with other training.
* Designed multi-document AML/KYC package for prospective counter-parties;
* Requested and managed counter-party due diligence (AML/KYC);
* Managed team of multi-level departments, internal stakeholders and senior executives (legal, credit, authorized signatories) in Contract Management and authorization by Ultimate Beneficial Owner (UBO) and other directors.
– Through persistent solicitation and marketing, achieved over 60 EFET contracts, 3 exchange memberships, & assisted on custodial service choice;
РActive Public Relations was instrumental in creating awareness of MND in many of Europe’s largest international Natural Gas markets with the leading market energy producers and traders (UK, Belgium, Switzerland, Netherlands, Germany, Austria, Poland);
– Navigated new and continually evolving regulatory environment with the introduction of policies (REMIT, ACER, MIFID II and registry participation).

(3) 42Financial Services, Prague (www.42FS.com)
SENIOR CONSULTANT, 01/2008 to 04/2011
Responsible for sales and broking of European Union, Emissions Credits (EUA).
* Used analytical skills to discover new client base;
* Developed new products & marketed them to East and West participants (REC Underwriting product; CER arbitrage);
– Lead response to Value Added Tax fraud, registry thefts, and other financial crimes affecting emission trading and created AML/KYC screening procedures, risk assessment, and escalated suspicious activity reports (SAR) to management and Dutch owner;
– Increased desk carbon turnover by 25% in first year. 

(4) Blackstone Global Ventures, Brno (www.blackstonegv.com)
TRADE DIRECTOR, 01/2007 to 11/2007
Responsible for Design and Project Management of carbon offset fund and Marketing for Seed Funding. Researched, Authored Business Plan, and executed Road Shows.
– With minimal supervision at a small entity, achieved firm funding commitment from Bear Stearns, London but cancelled just prior to their Investment Bank collapse.

(5) Atlantic Financial Markets Stockbroker, Prague, (www.atlantik.cz)
EMISSIONS DESK HEAD & EQUITIES SALESMAN, 03/2003 to 11/2006
Chief international salesman for Czech Equities, and later, built broking desk for European Union Allowances, prior to beginning of European Union Emissions Trading Scheme (EU-ETS) began in Central and Eastern Europe.
– Achieved earliest transactions (forwards) prior to first EUA allocations anywhere in CEE and managed a profitable activity with wide spread arbitrage deals and a unique, self-designed short risk window credit facility. 

(7) Earlier career experience summary
* Distressed debt acquisition, Vienna;
* Bond capacity build, Serbian bond desk set-up, Vienna;
* Controlled IPO participation from Swiss private bank clientele, Athens;
* Emerging markets equities sales, Prague, Kiev, Athens;
* Foreign Exchange trading, EFP Futures market making, in New York and Sydney;
* Settlements manager with SWIFT payments, precious metals and investigations lead for global Nostro accounts cooperating closely with banking service providers.


EDUCATION

* Futures Broking License, Sydney Futures Exchange, Sydney, Australia
* NY Institute of Finance, Foreign Exchange Course
* Bachelor Degree, Political Science, University of Washington, Seattle 


SKILLS

Professional Competencies

  • Exchange registration and compliance,
  • AM/KYC document preparation and data room transfers,
  • FX Trading, Exchange for Physical (EFP) market-maker,
  • Commodities Futures Broking,
  • Emerging Markets Sales-trading & Sales,
  • Energy Trading (Natural Gas, Renewable Energy, Emissions),
  • Microsoft Office (Excel, Word, PowerPoint, Visio),
  • EU drivers license B.

Soft Skills

  • Builder of teams, able to coalesce groups and form consensus, identify tasks and monitor achievements,
  • Author: writer of reports, commentary and fiction,
  • Avid daily consumer of international political and business news, particularly topics such as Brexit, Iran trade Sanctions, & Venezuela Sanctions and other issue management regarding European and American foreign policy. Hobbyist level in Linux & Android operating systems,
  • Hobbyist level in IOS FileMaker App development.
  • Proficient in Markdown Language and open source publishing platforms (WordPress) and simple HTML.