Attorney Advisor

Senior Attorney Advisor

This position serves as senior Attorney Advisor in the Division of Market Oversight in the Market Review Branch. The Market Review Branch analyzes applications for Commission designation and registration of derivative trading facilities such as Designated Contract Markets and Swap Execution Facilities. The Market Review Branch is also responsible for reviewing of rule submissions by those registered entities to confirm compliance with applicable rules and regulations. The Market Review Branch also participates in rulemakings pertinent to the work of the Branch. Major duties may include:

• Serves as a lead attorney working on interdivisional teams in their review of applications by trading facilities seeking to become registered or designated entities or for undertaking other significant projects as assigned;
• Responsible for the assessment of application requirements and core principles and the Commission's regulations and policies;
• Reviews applications by trading facilities seeking to become registered entities, either DCMs or SEFs, and meeting specified statutory and regulatory deadlines;
• Reviews market-related proposed rules for approval and/or certification submitted by registered entities and ensuring such rule filings are compliant with the Commodity Exchange Act, Commission regulations and policies;
• Reviews product filings by trading facilities for compliance with Commodity Exchange Act, Commission regulations and internal policies.
• Addresses legal and policy issues related to futures and swap trading and the Commissions' oversight program for regulated exchanges; and
• Drafts and formulates regulations, no-action letters, policy statements, and guidance of market-related issues for adoption by the Commission in coordination with the Director and Deputy Director of the Division of Market Oversight.