STEVEN J. METZ
EXECUTIVE CONSULTANT

PROFESSIONAL HIGHLIGHTS

Bekker Compliance Consulting Partners, LLC
Independent Consultant
2009 – Present

Steven is an independent Executive Consultant under contract with Bekker Compliance Consulting Partners, LLC (BCCP). He provides regulatory compliance consulting and training to BCCP’s financial services clientele.

MF GLOBAL INC.
New York, NY

Senior Compliance Counsel and Chief Compliance Officer, Anti-Money Laundering Officer, Privacy Officer, Registration Officer for MF Global Inc. 2006-2009. Responsible for assisting in due diligence review for company’s public offering. Provided Legal Counsel in two major litigations. Helped to develop compliance exception runs for trading losses and cash movement and the development of Compliance Manuals; daily contact in the areas of clearing, insurance, letters of direction, AML, policy memos and Reg NMS and Best Execution, conducted training sessions for all securities licensed brokers and supervised the Firm’s dealings with regulators, involved in employer trading surveillance, approval of New Accounts and AML reviews. Close relations with members of FINRA, CBOE and BATS. Conducted Audits of Branch offices, Fixed Income Department and was the Firm Representatives in audits conducted by CBOE, SEC and FINRA.

PRU GLOBAL SECURITIES, PRUDENTIAL FINANCIAL DERIVATIVES
New York, NY

Senior Vice President and Chief Compliance Director, 2003 – 2006, for broker dealer, FX Affiliate and futures commission merchant. All regulatory duties, including developing Compliance Manuals and written Supervisory Procedures. Responsible for monitoring regulatory audit, AML Compliance, Clearing Broker Relationship, monitoring of transactions including employee accounts. Helped review advertising and developed firm training including firm element compliance meetings and AML. Acted as liaison with parent company’s privacy and registration Departments in providing guidance to business groups; responsible for Patriot Act, clearing broker relationships, employee compliance (including employee reporting), designated person and employee trading reviews, member of Business Review committee in accepting new clients, also responsible for all audits and international relations.

PRUDENTIAL SECURITIES
New York, NY

Senior Vice President, Senior Counsel, Deputy Director of Compliance, 1990 - 2003: All aspects of Compliance Department - Supervision - involved in worldwide retail compliance with a staff of 70, reviewing client’s activity and branch manager supervision, branch office examination, registration, proprietary and derivative trading and Blue Sky Unit. Helped develop firm program for training brokers and branch office managers. Aided development of new firm policies and procedures for compliance, as well as reviewing status of clients. Positions. Speaker at firm functions and training sessions to both experienced and new employees. Member of firm’s Marketing Council, New Account Development Committee, New Client Profile Computer System Committee, PSPM Advisory Committee, Service Advisory Council, Investment Management Business Review Committee, and the Business Review Committee for Introducing Brokers. Review regulatory matters, as well as employment and discipline of employees. Helped develop procedures and monitoring tools for managed money and acted as liaison for firm in anti-money laundering issues and corporate security matters.

PRUDENTIAL-BACHE SECURITIES, INC.
New York, NY

First Vice President, Associate General Counsel, Deputy Compliance Director, 1984 – 1990: Supervisor Legal Department - involved in commodity futures, municipal bonds and special investigations. Represented firm in arbitration and regulatory matters. Responsible for review of commodity funds.

ACLI INTERNATIONAL COMMODITY SERVICES, INC.
White Plains, NY

Vice President and General Counsel, 1981 - 1984: Supervision of all legal, risk and regulatory matters. Involved in formulation of all marketing policy decisions regarding new products. Preparation of commodity pools and trading advisor disclosure documents, as well as review of said material for outside advisors.

PAINE WEBBER JACKSON & CURTIS, INC.
New York, NY

Vice President, Legal, 1978 - 1981: Attorney assigned to Commodity and GNMA Departments. Review rule changes with management, assist in preparation of marketing materials and policy, and prepare forms used by clients. Contact with various regulators, responsible for litigation in both assigned areas, including handling of arbitration and reparation litigation.

SMITH BARNEY HARRIS UPDAM & CO. INC.
New York, NY

Second Vice President, 1976-1978: Attorney assigned to regulatory relations for firm. Contact with Securities and Exchange Commission, Commodity Futures Trading Commission, New York Stock Exchange, National Association of Securities Dealers Chicago Board of Trade, Commodity Counsel and Litigation Counsel for firm, including most arbitration and reparation cases. Assisted in developing procedures under the Municipal Securities Rule Marking Board.

MERRIL, LYNCH, PIERCE FENNER & SMITH INC.
New York, NY

Law Department, 1973-1976: Assisted Personnel and Commodity Divisions. Assisted Exchange Arbitration and civil court proceedings as attorney of record in securities, options and commodities. In personnel matters, acted as counsel to Pension Committee and advised firm as to resignations, dismissals and registration of employees. Advised firm concerning the amendments to the Commodity Exchange Act of 1974. Liaison for firm with the Commodity Futures Trading Commission and all commodity exchanges. Assisted Chicago Board of Trade in drafting its arbitration rules.

ACCREDITATIONS AND PROFESSIONAL ASSOCIATIONS

Admitted to the New York State Bar in 1969, as well as to United States District Courts for Southern and Eastern Districts of New York. LLM in Corporate Law from New York University School of Law in 1973. Member of the Law & Compliance Division of Futures Industry Association, and served on Executive Committee for five years: served as Secretary for two years and as Treasurer for two years. Speaker and Panelist at Futures Industry Association Annual Convention, Securities Industry Law and Compliance Annual Convention, Kent Law School and National Regulatory Services Seminars and other industry organizations. Accredited with ACAMS.

LICENSES

Series 8, Series 23, and Series 14.