Biography

Joseph Sanguedolce is a Deputy Director in the Commodity Futures Trading Commission’s (“CFTC’s”) Division of Swap Dealer and Intermediary Oversight responsible for managing the Examinations Branch of the Division. The Examinations Team is responsible for the oversight of intermediaries’ compliance with the CFTC’s financial reporting, customer protection and recordkeeping requirements. This is accomplished through the independent review of regulatory financial and customer protection statements, risk exposure reports and Chief Compliance Officer Reports together with the performance of limited scope examinations at selected intermediaries. The Team’s Major Review Section performs oversight reviews of the work performed by self-regulatory organizations such as the National Futures Association and the Chicago Mercantile Exchange. During his nearly 40 year career, Joe has also held senior positions in the Financial and Regulatory Surveillance Departments of Commodity Exchange, Inc., the New York Mercantile Exchange and the Chicago Mercantile Exchange. He has also served as the chairman of the Joint Audit Committee and as a member of the Intermarket Financial Surveillance Group. Most recently he held the position of Americas Client Money Officer for JP Morgan Securities LLC. Joe holds a BBA in Accounting (CPA Prep) from Pace University, New York, New York and is licensed as a Certified Public Accountant.

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