U.S. Commodity Futures Trading Commission

Duties This position serves as Supervisory Attorney-Advisor (Associate Director) in the office of Division of Enforcement (DOE), Whistleblower Protection Office supporting the Director in the WBO’s day-to-day activities; developing long-range as well as short-range plans; and concentrating on the day-to-day administration of the WBO’s core functions.  As the Associate Director, the following duties will include: Oversee the day-to-day tasks supporting the Whistleblower Program and supervise the staff of the Whistleblower Office, in consultation with the Director of the Whistleblower Office; Advise the Director of the WBO and Director of the Division of Enforcement on implementing, overseeing, coordinating, and evaluating the operation of the Commission's Whistleblower Program;  Support the management efforts of the WBO, and provide guidance to the Director of the WBO in connection with policies, procedures, and objectives; Advise on policy matters relating to the Whistleblower Program and provide technical assistance in the continued development and implementation of major CFTC initiatives pertaining to whistleblowers; Analyze legal memoranda and reports prepared by the WBO staff and others; summarize factual and legal issues involved, brief the Director of the WBO and the Director of the DOE and provide recommendations; Review WBO staff work to ensure policy conformance and legal analysis and conclusions; Oversee special projects as assigned by the Director of the WBO; and Oversee intake and processing of whistleblower complaints award applications.  ***The Supervisory Attorney Advisor (Associate Director) must demonstrate a commitment to diversity, equity, and inclusion through continuous development and modeling inclusive behaviors.  The Supervisory Attorney Advisor also supports CFTC leadership in promoting a culture of inclusivity and belonging that embraces the contributions of all team members***

If selected for this position, you will lead, manage, and provide oversight to the PMAB programs in direct support of the Commission. The Deputy Director develops short- and long-range plans, makes binding decisions in any area of the PMAB activities, and carries out the administrative functions of the PMAB. Ensures that PMAB resources are used in the most effective manner consistent with resources and budget determinations and is accountable for the success of the product and market analytics program, including the full range of factors that affect program and project accomplishment. This includes obtaining the resources necessary to accomplish the program or projects and assuming responsibility for their effective use, and dealing with key officials from within and outside the agency to gain understanding and support for the program or project. Directs and supervises the Branch’s review and analysis of novel, extremely complex derivatives contracts for compliance with the Commodity Exchange Act (CEA) and CFTC regulations. Provides administrative direction with assignments in terms of the missions and functions of the CFTC and DMO. Directs and supervises the Branch’s review and analysis of proposed contracts that may impact the jurisdiction and/or authority of the Commission and/or the intersection of the CFTC’s jurisdiction and/or other federal agencies. Encourages the Branch to develop practicable, reasonable approaches to resolving questions in a manner that protects market integrity, encourages innovation, and develops opportunities for market evolution. Identifies and analyzes foundational, high-stakes issues relating to derivatives products, many of which are issues of first-impression for Branch staff, especially those involving the digital asset and environmental markets and related derivatives. Coordinates and collaborates with other Division branches in developing changes in the Commission’s approach to the oversight of products when necessary. Regularly provides expert derivatives products advice and technical guidance to the Director, the Commission, and Commission senior staff related to the derivatives markets and product review program. Represents the Commission at meetings with congressional staff, senior staff of the Securities and Exchange Commission, U.S. Treasury, and other government agencies, officials of other countries, officials of international agencies, and representatives of nongovernmental international groups regarding issues identified. Regularly represents the Commission at meetings with industry trade associations, exchanges, market participants, and legal counsel on product filings. Serves as the principal source of the Commission’s advice on pertinent market developments and potential problems. Conducts regular market briefings on significant market conditions and emerging market dynamics, developments, and trends and provides the Commission with accurate, meaningful, and properly evaluated information. Designs, coordinates, and organizes public events and conferences to obtain direct feedback from stakeholders, and to share CFTC views on market status and trends. Often interacts with members of the Commission’s executive and senior management teams from various divisions and offices, representatives from other government agencies, and outside interest groups, which may require persuasive advocacy regarding market and product issues. Represents the Commission with respect to the PMAB in communications with Congress, the public, industry groups, trading facilities, and other U.S. and non-U.S. government agencies. Collaborates with other Division branches and their Deputy Directors to resolve emerging issues in the derivatives markets that are covered by the mandate of the Division. Explores and develops ideas, evaluates problems, and implements novel courses of action in areas, most of which are either unprecedented or where precedent and past practice do not serve emerging needs. Serves as CFTC representative on advisory panels and international working groups with representation of other U.S. and foreign agencies and industry officials regarding the functions of derivatives markets and the CFTC’s oversight. Receives and addresses inquiries into market conditions and studies into international issues, such as the impact of proposed or existing rules or policies on domestic and foreign traders and exchanges. This process often requires collaboration with other branches within the Division, as well as other Commission Divisions and Offices. Supervises the Branch’s contributions to large-scale studies undertaken by the Division that address the primary concerns of the Commission. Provides technical assistance to foreign governments, foreign exchanges, or international bodies in connection with derivatives trading, the regulatory framework, product design, and compliance through meetings, seminars, and onsite visits to the host country.

At the full performance level, you will serve as a Systems Risk Analyst in the Compliance Branch (Branch) of the Division of Market Oversight (DMO), as senior staff of the Branch's Market Continuity Program (MCP). Using advanced knowledge of information technology (IT) concepts and of standards, guidelines, and best practices regarding system safeguards and security control reviews, you will conduct the CFTC's oversight of compliance by Designated Contract Markets (DCMs), Swap Data Repositories (SDRs), and Swap Execution Facilities (SEFs) with the system safeguards requirements of the Commodity Exchange Act (Act) and CFTC regulations. Additionally you will; Plan and conduct System Safeguards Examinations (SSEs) and Targeted Maturity Assessments (TMAs) of all DCMs, SDRs, and SEFs, to evaluate the reliability, cyber and physical security, adequate scalable capacity, internal oversight, and testing of their automated trading and data reporting systems, and the compliance of their programs of system safeguards risk analysis and oversight with the requirements of the Act and CFTC regulations. Serve as one of DMO's senior IT and system safeguards experts for performance of system safeguards oversight that is complex, sensitive, and of high importance to the mission of the CFTC. Serve as an expert on teams conducting system safeguards examinations (SSEs) of DCMs, SEFs, and SDRs to assess their compliance with the system safeguards requirements of the Act and Commission regulations. SSEs address DCM, SEF,  and SDR compliance with core principles requiring the regulatee to: establish and maintain   a program of risk oversight to identify and minimize sources of operational risk through development of appropriate controls and procedures and development of automated systems that are reliable, secure, and have adequate scalable capacity; establish and maintain emergency procedures, backup facilities, and a plan for disaster recovery that allow for the timely recovery and resumption of operations and the fulfillment of the duties and obligations of the regulatee; and periodically conduct tests to verify that backup resources are sufficient. SSEs focus on seven risk oversight program areas, including: Enterprise risk management and governance; Information security; Business continuity and disaster recovery, including pandemic planning; Capacity and performance planning; Systems operations; Systems development and quality assurance; and Physical security and environmental In leading or participating on an SSE or TMA team, the incumbent will: organize and conduct review of documents provided by the DCM, SDR, or SEF examined; conduct extended on-site interviews, as a senior expert on the interview team, with regulatee senior management and technical staff; apply extensive, expert knowledge of risk oversight, IT principles, appropriate controls and procedures, and best practices for automated systems to the analysis of information developed in the course of the SSE or TMA, and play a significant participatory role at an expert level in MCP staff determination of appropriate findings and recommendations; draft a detailed report of MCP findings and recommendations; participate as a senior-level expert in communicating findings and recommendations to senior management and technical staff of the DCM, SDR, or SEF examined; and assess the efficacy and timeliness of corrective action taken by the DCM, SDR, or SEF The incumbent represents the MCP on DMO teams reviewing applications from entities seeking designation as a DCM or registration as an SDR or SEF.  The incumbent serves as an expert in technical reviews by MCP staff of the applicant's compliance with system safeguards requirements for entities seeking the designation or registration in question.  The incumbent also expertly communicates with applicants during the registration or designation process and participates as a senior-level expert in MCP staff evaluation of applicant sufficiency in light of applicable system safeguards requirements, and drafts system safeguards-related portions of related reports and registration or designation orders. The incumbent may be required to independently conduct such technical reviews, including on-site registered entity and data center visits. There are a few openings for this position in Washington, DC, Chicago, and New York.

The Deputy Director in the Office of Legislative and Intergovernmental Affairs (OLIA) works with and reports to the Director of Legislative Affairs on legislative and interagency matters that pertain to the CFTC and the Commodity Exchange Act (CEA). This includes, but is not limited to working with Congress; the U.S. Departments of Treasury, Agriculture, State, Commerce, Interior, and Justice; the Securities and Exchange Commission (SEC); the Federal Reserve Board; the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation; the Federal Trade Commission; the Federal Energy Regulatory Commission; the Environmental Protection Agency; and state and local governments As the Deputy Director in the Office of the Legislative Affairs, you will: Prepare and transmit materials to Congress, including testimony, briefings, and responses to congressional inquiries or letters. Conduct analysis of legislative proposals and prepare briefings and make presentations on those findings. Work with other federal agencies on legislative matters of mutual interest. Work with outside groups that interact with Congress on CFTC-related policy. Work with the Director to establish and maintain contact with members of Congress, their office staff, and the staff of Congressional committees to ensure information concerning agency programs and activities is available at all times. Work with the Office of Personnel Management and the Senate Agriculture Committee to move Presidential nominees to the Commission through the confirmation process. Work with the Director to monitor policy initiatives, decisions, precedent cases, and matters that may affect or relate to CFTC activities. Coordinate agency responses to Congressional inquiries, including replies to letters, requests for briefings, enforcement referrals, and other queries. Manage and archive OLIA communications and CFTC-related legislative history. For more information, including requirements and qualifications, visit:  https://www.usajobs.gov/job/759410800

The Commodity Futures Trading Commission’s Office of Minority and Women Inclusion (OMWI) will host an in-person and virtual Career Forum for Colleges, Universities, and Law Schools on November 14-16. The forum will occur in half-day sessions, highlighting career paths across the CFTC in various occupations. OWMI is inviting students and recent graduates from Washington, D.C.-area colleges, universities, and law schools to participate in the in-person session on November 14, and inviting students and recent graduates nationwide to participate virtually in the sessions on November 15 and 16. The forum’s opening day on November 14 will be in-person and feature opening remarks from CFTC Chairman Rostin Behnam, CFTC Commissioners, and guest speaker Alex Tremble, CEO of GPS Leadership Solutions. The forum will feature opportunities to learn more about CFTC career paths and the integral role of the CFTC in the U.S. economy through panel discussions and opportunities to engage with CFTC attorneys, auditors, economists, futures trading specialists, investigators, and analysts. The forum will conclude with an overview of the CFTC’s internship and recent graduate program, along with a workshop on writing a federal resume and the federal employment application process.  “This career forum reflects the CFTC’s commitment to attracting and recruiting diverse top talent and building a pipeline of future leaders who represent the diversity of the people and markets the CFTC serves and oversees through establishing partnerships and recruiting from law schools, minority serving institutions, women’s colleges, and rural colleges and universities,” said Chief Diversity Officer Tanisha Cole Edmonds, who also leads OMWI. “As the primary regulator of the U.S. derivatives markets, the CFTC plays an integral role in risk management, price discovery, financial stability, and predictability of prices that impact the daily lives of all Americans. We need a diverse and talented workforce to accomplish our mission to promote the integrity, resilience, and vibrancy of the U.S. derivatives markets,” Edmonds continued.” OMWI Career Forum for Colleges, Universities, and Law Schools Sessions: November 14:   In-person half-day session at the CFTC’s Washington, D.C. headquarters. Portions of this session will also be accessible virtually. Participants will hear from CFTC Chairman Rostin Behnam and Commissioners Kristin N. Johnson, Christy Goldsmith Romero, Summer K. Mersinger, Christy Goldsmith Romero and Caroline D. Pham. Alex D. Tremble, executive leadership coach, will be the guest speaker. Tremble is the founder and CEO of GPS Leadership Solutions, the author of several books focused on career planning and government leadership, and   The Executive Appeal   podcast host .   In-person attendees will have the opportunity to speak directly with attorneys, auditors, economists, futures trading specialists, investigators, and analysts about their jobs and experience working at the CFTC. Register here for the in-person session in Washington, D.C. November 15 and 16:    Virtual-only, half-day sessions. Participants can attend sessions focused on the federal employment application process and resume writing for USAJOBs, the federal government’s official employment site. Virtual attendees will also have the have the opportunity to speak directly with attorneys, auditors, economists, futures trading specialists, investigators, and analysts about their jobs and experience working at the CFTC. Register here for the virtual session(s) About the Office of Minority and Women Inclusion (OMWI) OMWI leads the CFTC’s equal employment opportunity (EEO) and diversity, equity, inclusion, and accessibility (DEIA) programs. OMWI works to align and integrate EEO and DEIA with the CFTC mission by: Providing leadership and direction in diversity talent attraction, recruitment, and retention; Fostering inclusive and welcoming work environments; Partnering with CFTC talent and business leaders to ensure equitable policies and access to opportunities within the CFTC; Partnering with CFTC talent and business leaders to ensure equitable access to benefits and opportunities pursuant to CFTC external facing policies and programs; Providing leadership, guidance, and technical assistance on the development of a model EEO program; Educating the workforce on employee rights and responsibilities regarding the EEO process; and Administering an impartial and unbiased EEO complaint process for all current and former CFTC employees and job applicants.

The mission of the WBO is to perform intake, tracking and recordkeeping of whistleblower submissions; oversee the review process of each whistleblower’s eligibility; administer the determination process for whistleblower award claims; communicate with whistleblowers and their representatives; and report to the Commission and Congress on the whistleblower program.  The Staff Attorney will assist the WBO Director in running all aspects of the whistleblower program. At the full performance level, duties may include: Review Form TCR whistleblower tips and Form WB-APP whistleblower award applications, including documentation or other supporting information submitted with those forms; Communicate with whistleblowers and their representatives about the law and rules underlying the whistleblower program, including the program’s eligibility requirements and information regarding the anti-retaliatory provisions of the Dodd-Frank Act; Perform legal, policy, and factual research in connection with whistleblower programs; Communicate with other authorities (e.g., the Department of Justice and other appropriate federal agencies, registered entities, registered futures associations and self-regulatory organizations, and State criminal and appropriate civil agencies) regarding the status of related actions that are based upon information submitted by whistleblowers to the Commission; Coordinate with Division of Enforcement staff to advise on issues of whistleblower confidentiality and to develop records regarding the contributions of whistleblowers; Provide reporting information to the Commission and Congress; Assist the Commission and its Whistleblower Award Claims Review Staff to determine the eligibility of whistleblower award claimants, and the amounts of whistleblower awards; Ability to prepare complex legal analysis; and Develop briefings for public speaking engagements, and other communications materials to inform the public about the whistleblower program.