This position is located in the Examinations Branch of the Division of Clearing and Risk (DCR). The Examinations Branch plans and conducts examinations of derivatives clearing organizations (DCOs) to evaluate compliance with the Commodity Exchange Act (Act) and Commission regulations and monitors financial, operational, and risk activities of DCOs to assess the actual and potential implications of those activities for the DCO and for financial markets generally.
If selected for this position, you will serve as an Associate Director responsible for managing and supervising a team of professional and technical experts responsible for assessing DCOs for compliance with the Act and CFTC regulations. This will include the following: Provide expert advice and technical guidance to the Deputy Director for Examinations in the formulation of an annual plan of examinations.
Ensure the planned examinations are carried out in an efficient and effective manner. Prepare risk assessments that identify potential areas of risk at a DCO and assign rankings to each risk. This includes assessing business risks related to DCO's risk management policies and procedures and the identification of potential gaps in the risk controls at a given DCO.
Establish the scope and priorities for DCO examinations, including those focusing on financial resources, operational capabilities, and risk management activities, specializing in system operations and safeguards, with minimal guidance from the Deputy Director.
Conduct meetings with other regulators regarding common registrants, including staff of the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission and manage these inter-agency relationships.
Provide leadership and guidance to team members through identifying, distributing, and balancing workload and tasks among employees in accordance with established workflow, skill level, and/or occupational specialization; adjusting workload and tasks among employees.
Supervise professional staff assigned to non-routine reviews arising from notifications filed by DCOs highlighting unexpected events or errors, as well as reviews involving complex or unusual issues arising from ongoing or ad hoc financial and operational analyses of such entities. Review and assess the sufficiency and accuracy of the reports prepared by staff that detail the analysis done in response to DCO notifications.
Assist the Deputy Director in developing new examination standards and guidance for evaluating the compliance of DCOs with regulatory requirements. Review the effectiveness of these standards and guidance and update as necessary. Serve as an expert regarding the Examinations Branch's internally developed software.
Assist other staff in understanding the output of the software and respond to general or specific questions posed by senior DCR staff, other CFTC staff, and Commissioners and their staff related to the software. Represent the branch at program meetings, briefing reviews, technical assessments, training sessions and related activities for DCR senior staff and staff of other Commission offices/divisions regarding the examination program functions and activities.
Answer questions from DCR and other Commission staff and the public concerning the examination program. Build coalitions internally and with other Federal agencies, State and local governments, nonprofit and private sector organizations, foreign governments, or international organizations to achieve common goals. Perform special projects, as assigned, and in support of DCR's responsibilities in general.
jgiles@cftc.gov · 202-418-5512
This position is with Commodity Futures Trading Commission, Other Agencies and Independent Organizations.
The posted pay range is $206937 – $292300/yr.
This position is eligible for telework.
Applications close on 2026-10-22.
This is a Full Time position.
This position is open under the 'Public' hiring path.
Source: USAJOBS.gov — U.S. Federal Government
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