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Deputy Director (MPD Examinations Branch)
Commodity Futures Trading Commission · Posted today
Hybrid Washington, DC $239K – $292K Apply by Jul 8, 2026 General Business And Industry ENTJESTJINTJISTJ
Apply for this job → About the Role
The Market Participants Division (MPD) leads the Commodity Futures Trading Commission's efforts in protecting market participants and their funds by ensuring the financial integrity, fitness, and fair business conduct of derivatives market participants, such as swap dealers (SDs), major swap participants, futures commission merchants (FCMs), introducing brokers, commodity pool operators, commodity trading advisors, floor brokers, and retail foreign exchange dealers futures associations.
What You'll Do
- →The Deputy Director for Examinations oversees financial and non-financial examinations related to the oversight of Market Participants, including SDs, FCMs, and retail foreign exchange dealers futures associations.
- →The Deputy Director serves as a consultant and principal advisor to the Director concerning the Division's Examination program.
- →The work performed by Branch staff may result in potential regulatory actions, including recommendations for enhancing oversight programs, issuance of staff advisories and interpretations, proposal of Commission rulemakings, and enforcement referrals.
- →If selected for this position, you will; Develop and maintain procedures used to examine and review Market Participants and SROs in assessing their compliance with the Act, Commission regulations, and Division policy statements and interpretations.
- →Conduct oversight and plan and supervise direct examinations of Market Participants undertaken by the Division to monitor their compliance with the Act and Commission financial and related reporting regulations.
- →Routine examinations of Market Participants are performed by SROs, however, the Branch may conduct direct examinations of any registrant for cause or conduct direct examinations across several registrants in furtherance of the analysis of a specific issue or practice by registrants.
- →Oversee the development of operational programs and supervision of the Branch's oversight and examinations of SROs, including the National Futures Association and Chicago Mercantile Exchange.
- →Such oversight and examinations are designed to evaluate an SRO's performance in executing its examination and financial surveillance programs over member Market Participants for compliance with applicable provisions of the Act, Commission regulations, and staff guidance or interpretations.
- →Manage the Branch's overall program for the oversight of applicable financial surveillance activities of Market Participants, including the Branch's work in assessing compliance with regulatory capital requirements.
- →Participate in the planning, supervision and execution of any on-site investigations and oversee the resolution of issues raised by such reviews.
- →Ensure appropriate and timely follow-up investigations of notices received from Market Participants, SROs, and public accountants relating to financial issues.
- →Present the position of the Division concerning issues and other matters pertaining to financial examinations and reviews of Market Participants, and issues and other matters pertaining to an SROs execution of its financial surveillance and compliance programs for member Market Participants.
- →Represent the Division at conferences, seminars, workshops, committees and meetings.
- →Oversee the research and analysis of problems, issues, trends, and requirements concerning financial compliance and the preparation of analytical reports or recommendations for future actions.
Requirements
- ✓Your resume must include information that emphasizes progressive leadership responsibilities for positions held to include the scope and complexity, program accomplishments, and results of executive actions taken.
- ✓Additionally the resume must include information that addresses how your qualifications relate to the Mandatory Technical Qualification (MTQs) and the Executive Core Competencies (ECCs).
- ✓To be creditable, education must have been obtained in an accredited college or university.
- ✓You must report only attendance and/or degrees from schools accredited by accrediting institutions that are recognized by the U.S.
- ✓Department of Education.
- ✓For a list of schools that meet this criterion, see www.ed.gov.
- ✓For further information, visit: http://www.ed.gov/about/offices/list/ous/international/usnei/us/edlite-visitus-forrecog.html U.S.
- ✓Citizenship Background/Security Investigation May be required to serve a one-year supervisory probationary period Selective Service Registration is required for males born after 12/31/1959
Personality Fit
Job ID: 02cc3709-1edb-4eee-9519-d9977dd47dfd
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