Supervisory Risk Analyst; Deputy Director

Deputy Director for Examinations

The incumbent serves as a key member of the agency's leadership team. In this role, the executive is responsible for managing one or more key programs, advising the agency on policy making, and collaborating across organizational lines on agency-wide issues. The Deputy Director for Examinations in DCR serves as a consultant to the Director, Division senior staff, and Commission senior staff concerning the Division's Examinations program.

In this role, the Deputy Director serves as a member of the Division's senior staff and is responsible for policy and management functions to direct the Examinations program, staff and resources. If selected for this role, you will be instrumental in assisting the Director in defining, planning, and formulating the mission and goals to ensure programmatic and resource commitment to accomplishing the Division's work.

In addition, the Deputy Director explores and develops ideas, evaluates problems, and implements courses of action in a wide variety of clearing-related areas, many of which are unprecedented or where precedent and past practices do not necessarily serve emerging needs.

Provide expert advice and technical guidance to the Director, the Commission, and Commission senior staff on the impact of the Examinations program over DCOs, proposed regulatory initiatives, legislation, regulations, interpretations, and policy statements.

Develop guidelines and other regulatory approaches applicable to the examination of DCOs.

Conduct oversight and examinations of DCOs to evaluate their compliance with applicable provisions of the Commodity Exchange Act and Commission regulations, including Core Principles such as: financial resources, risk management, default procedures, protections for customer funds, and system safeguards.

Conduct annual examinations of DCOs determined by the Financial Stability Oversight Council to be systemically important to assess their compliance with heightened risk management and prudential standards.

Develop and maintain policies and procedures used to examine and review DCOs' compliance with the Commodity Exchange Act, Commission regulations, and Division policy statements and interpretations.

Review and conduct timely follow-up of notices received from DCOs relating to financial or operational issues.

Present the position of the Division concerning issues and matters pertaining to examinations and reviews of DCOs to other divisions/offices and the Commission, and represent the Division at conferences, seminars, workshops, committees and meetings.

Research and analyze problems, issues, and trends related to DCO compliance issues and provide analytical reports or recommendations for future actions.

Perform analyses, reviews, studies, and special projects relating to the Division's Examinations program.

Lead or participate in special task forces or project groups, providing expertise on clearing-related issues.

Provides support to the Director, including executive direction and oversight, and shares fully in the planning, organizing, directing, controlling, and coordinating of the Division's Examinations Branch (Branch).

Establish and evaluate the goals of the Examinations program, and the progress made toward achieving them, and institute policies and procedures directed toward improving the efficiency and effectiveness of the Branch.

Determine resource needs and allocate personnel, funding, and material to achieve overall work objectives.

Manage the human, financial and material resources of the Branch.

Build coalitions with other CFTC Directors and maintain effective relationships with industry participants, other agencies, members of Congress and other interested parties.

Assign and review work of subordinates.