Deputy Director (MPD Examinations Branch)

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