Associate Director
Commodity Futures Trading Commission - Washington, DC

This job posting is no longer available on usajobs.gov. Find similar jobs: Associate Director jobs - Commodity Futures Trading Commission jobs

With an expanded mission and authority including oversight of the swap markets, the CFTC continues to protect the American public by promoting market integrity, transparency and preventing and prosecuting fraud, manipulation and other abuse in the futures and options markets. Please visit http://www.cftc.gov/ to learn more about the CFTC.

This position serves as an Associate Director within the Registration and Compliance Branch of the Division of Swap Dealer and Intermediary Oversight (DSIO or the Division), an organization that oversees the registration and compliance of swap dealers, major swap participants, futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisors, retail foreign exchange dealers, and other swap and futures market intermediaries. The Division’s oversight program is designed to ensure that these intermediaries are financially sound and meet standards for fitness and conduct as set forth in the Commodity Exchange Act and Commission regulations. The Division assesses and monitors swap dealers’, futures commission merchants’, and other intermediaries’ compliance with capital, margin, customer asset segregation, and customer protection requirements; internal and external business conduct standards; and reporting, disclosure, and recordkeeping requirements. Division staff develops regulations, orders, and interpretative statements on issues relating to swap dealers, futures commission merchants, and other intermediaries; reviews registration applications; reviews financial and other business data of registrants; designs audit modules and conducts examinations of registrants for compliance with the Commodity Exchange Act and Commission regulations; provides advice to other divisions and offices in the Commission regarding issues involving swap dealers, futures commission merchants, and other intermediaries; and assesses the risk posed by swap dealers, futures commission merchants, and other intermediaries to the derivatives markets. The Division also oversees and examines the National Futures Association and other self-regulatory organizations, which in turn implement the registration, examination, and surveillance of registrants, as delegated by the Commission.

KEY REQUIREMENTS

U.S. Citizenship

Background/Security Investigation.

Males born after 12-31-1959 must be registered for Selective Service.

DUTIES:
As an Associate Director for Registration and Compliance, the position reports directly to the Deputy Director and serves as a consultant and principal advisor to Division leadership and Commission senior staff concerning the DSIO’s Registration and Compliance program. In this role, the Associate Director serves as a member of the Division’s senior staff and is responsible for policy, management and other functions necessary to assist the Deputy Director in directing the Registration and Compliance program staff and resources. As such, the Associate Director is instrumental in defining, planning, managing and evaluating the organization’s mission and performance to ensure accomplishment of programmatic and organizational goals and objectives.

If selected, you will be responsible for directing and/or executing the following major functions and activities:

Providing advice and technical guidance to the Deputy Director and other Commission senior staff on the impact of the Registration and Compliance program and policies, proposed regulatory initiatives, legislation, regulations, interpretations, and policy statements.

Conducting reviews of swap dealers and major swap participants to determine their compliance with Commission regulations applicable to business conduct standards, and non-financial reporting and recordkeeping requirements.

Develop regulations, policies, guidelines, and other regulatory approaches applicable to business conduct standards and requirements governing non-financial reporting and recordkeeping for swap dealers and major swaps participants.

Preparing responses to requests for no-action, exemptive, or interpretative letters applicable to the Registration and Compliance program -- particularly business conduct standards and non-financial reporting and recordkeeping requirements.

Developing regulations, orders, guidelines, and other regulatory approaches applicable to foreign swaps, futures and options.

Conducting oversight and review of the National Futures Association’s operation of elements of the Commission’s compliance program for swap dealers, major swap participants and futures registrants that have been delegated to the National Futures Association.

Conducting reviews of the non-financial components of the National Futures Assocation’s and other self-regulatory organizations’ surveillance programs, including the disclosure document and sales practice programs of the National Futures Association and other self-regulatory organizations.

Performing research, analyses, reviews, studies, and special projects relating to the Division’s oversight programs.

Supervising and leading the full range of professional and administrative functions performed by reporting Attorneys and/or support staff.

QUALIFICATIONS REQUIRED:
Education: Successful completion of a full course of study (JD) in a school of law accredited by the American Bar Association (ABA).

Bar Membership: Currently an active member in good standing of the bar of a state, territory of the United States, District of Columbia, or Commonwealth of Puerto Rico.

Applicants are responsible for citing minimum qualifications such as JD and Bar membership information (institution name, state for bar, and dates) on their respective resumes . Failure to supply details will result in an incomplete application.

CT-15: In addition to the qualifications above, you must possess one year of specialized experience equivalent to the GS/CT-14 level in the Federal service, or comparable relevant experience gained through non-Federal public or private sector service.

Relevant experience is defined as attorney, law clerk, or other applicable legal experience which was obtained subsequent to graduation from law school.

You must meet the requirements for this position within 30 days of the closing of this vacancy announcement.

Desired Qualifications:
Demonstrated skill in research and analysis of sophisticated legal issues, as well as excellent written and oral communication skills. Please include a writing sample along with your application.

Knowledge of commodities or related law and regulations, financial markets, corporate law, and general administrative law.

Knowledge of the swap markets, including the commodity swap market, exchange-traded or over-the-counter derivative markets; financial product markets or other financial product dealing and intermediary activities.

Ability to supervise others in carrying out complex projects.

Education: Successful completion of a full course of study (JD) in a school of law accredited by the American Bar Association (ABA).

Bar Membership: Currently an active member in good standing of the bar of a state, territory of the United States, District of Columbia, or Commonwealth of Puerto Rico.

Applicants are responsible for citing minimum qualifications such as JD and Bar membership information (institution name, state for bar, and dates) on their respective resumes. Failure to supply details will result in an incomplete application.

HOW YOU WILL BE EVALUATED:
This job is being filled under a Schedule A hiring authority 5 CFR 213.3102 and is excepted from the competitive civil service. You will be evaluated and deemed either eligible or ineligible based on the relevance and quality of your experience and education, bar membership, and on the desired qualifications described above. All eligible applicants will be further evaluated by subject-matter experts.
To preview questions please click here .

BENEFITS:
We offer a comprehensive benefits package that includes, in part, paid vacation, sick leave, ten Federal holidays, life insurance, free dental, medical benefits, Life Cycle/Wellness Fund, telework, flexible work schedules and participation in the Federal Employees Retirement System. Explore the major benefits offered to CFTC employees at http://www.cftc.gov/About/Careers/EmployeeBenefits/index.htm .

OTHER INFORMATION:
Relocation. Relocation expenses will not be paid.

Trial Period. You will be subject to a two year trial period.

EEO Policy Statement. The United States Government does not discriminate in employment on the basis of race, color, religion, sex, national origin, genetic information, political affiliation, sexual orientation, marital status, disability, age, membership in an employee organization, or other non-merit factor.

Reasonable Accommodation. Federal agencies must provide reasonable accommodation to applicants with disabilities where appropriate. Applicants requiring reasonable accommodation for any part of the application and hiring process should contact the hiring agency directly. Determinations on requests for reasonable accommodation will be made on a case-by-case basis.

The law prohibits public officials from appointing, promoting, or recommending their relatives. The law prohibits requesting, making, transmitting, accepting, or considering political recommendations for employment or other personnel actions for non-political positions. This includes recommendations from Members of Congress, Congressional employees, elected state or local officials, and political party officials and any recommendation based on party affiliation.

If selected, you may be required to serve a supervisory/managerial probationary period.

usajobs.gov - 15 months ago - save job - block
About this company
3 reviews