1. Michael O'Reilly
ammtor@yahoo.com
(646) 599- 6270
PROFILE: Chief Compliance Office for Swap Dealer, RFED, FCM, IB, Broker Dealer
Registrant; Member New York Bar Association; Florida Bar Association.
• Other: Honorable Discharge USMC; Proprietary Equities Trader; Institutional
Foreign Exchange Broker; Finra Series 7, Series 24; Airline Transport Pilot.
CURRENT EXPERIENCE: (2009 - Present).
Chief Compliance Officer (CCO) / Chief Legal Counsel for FXDirectDealer ("FXDD")
Swap Dealer, RFED, FCM, IB and for firm's Broker Dealer (Avatar Capital Markets).
• EXPERT KNOWLEDGE OF TITLE VII- DODD FRANK WALL STREET REFORM
ACT AS IT PERTAINS TO RFED, FCM AND SWAP TRANSACTIONS- Established
and enforced company policies and procedures for Swap Dealer, RFED, FCM and B/D
activities, including drafting company Procedure manuals, Anti-Money Laundering
(AML) manuals and Compliance manuals.
• LEADING ROLE IN FIRM'S BROKER DEALER, RFED AND SWAP
REGULATORY AUDIT EXAMINATION PROCESS- Responsible for the timely filing
of all financial and regulatory documents, and for ensuring that department heads are
prepared to demonstrate compliance within their specific departments prior to SRO audit
examination.
• DEVELOPED AND IMPLEMENTED FXDD'S REGISTRATION AS A
PROVISIONAL SWAP DEALER - In order to address the recent requirements of the
Dodd-Frank Wall Street Reform Act pertaining to spot foreign exchange contracts with
Eligible Contract Participants ("ECPs"), worked closely with IT, Sales and Risk Desk to
facilitate compliance with new Swap Dealer requirements.
• BROAD UNDERSTANDING OF FINRA RULES AND REGULATIONS WITH
RESPECT TO BROKER DEALER- Responsible for all aspects of Broker Dealer
compliance including Written Supervisory Procedures, TRACE reporting, CRD, audits
and training.

2. • ESTABLISHED PROFESSIONAL RELATIONSHIPS WITH REGULATORS- Liaison
with regulatory agencies (CFTC, FINRA and firm's SRO-NFA) to ensure compliance
before any violations occur. Created strong professional relationships with
aforementioned agencies built on trust, respect and competency.
Prior Experience:
Northwest /Delta Airlines. – Detroit MI (2007-2009)
Airline Transport Pilot
Pilot in command of domestic and international flights
Mead, Hecht, Conklin & Gallagher, LLP. Mamaroneck, NY (2003-2007)
Trial Attorney
• Defense litigation from inception to trial.
• Researched, analyzed and interpreted applicable laws and statutes.
• Ability to work on multiple assignments under tight deadlines.
• Strong verbal and written communication skills.
Heartland Securities, Inc. New York, NY (1995-2002)
Proprietary Trader
• Proprietary Trader, responsible for trading of NYSE and NASDAQ securities and
indices.
• Knowledgeable with the Federal Securities Acts of 1933 and 1934 as well as with
Sarbanes Oxley Act.
•
Lasser Marshall & Co., New York, NY (1987- 1995)
Senior Vice President, Foreign Exchange Options

3. • Guided senior management through relevant legal and technical issues in establishing and
operating an entire new division.
• Global head of the firm’s Foreign Exchange Options Division, New York, London,
Tokyo.
Education
• BS Air Commerce - Florida Tech (Honors), Melbourne, FL
• JD- New York Law School, New York, New York