Director, Data Investigations and Recordkeeping Examinations
POSITION OVERVIEW:
This position is the overall leader of the functional group that conducts CFTC required recordkeeping exams, analysis of CME's automated recordkeeping programs, Clearing Firm process reviews, and investigates recordkeeping violations. The position will be responsible for evolving processes over time, as CME business changes and as new rules are developed.
RESPONSIBLITIES:
- Overall management CME's Data Quality and Recordkeeping Examination Group.
- Monitor and Develop work processes and protocols for recordkeeping program, recordkeeping and process exams, and recordkeeping investigative activities. Ensure adequate resources are available, ensure staff is fully trained and held accountable. Ensure that DQREG work processes comply with CFTC mandates and remain relevant to CME business.
- Develop and support initiatives to foster communication between DQREG and other areas inside and outside of Market Regulation.
- Dealing with CFTC on data issues, ensuring that CME programs meet and/or exceed CFTC requirements, and establish CME as industry leader in the area.
- Follow legislative changes and create strategies to meet new mandates such as Dodd Frank, automated trading system standards, and CFTC regulation changes. Participate in development of CME rule and interpretations relating to recordkeeping.
REQUIREMENTS:
- Bachelor's Degree
- Advanced Degree preferred
- Exceptional verbal and written communication skills
- Demonstrated ability to innovate
- 5-10 years of experience in listed derivatives or securities markets, with operational knowledge of electronic trading practices preferred.
- 5+ years regulatory or auditing experience
- Demonstrated leadership skills and ability to interact effectively across all levels of a matrixed based organization
See Job Description
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