Education
- University of South Carolina, Honors College, BA, International Studies
- The Johns Hopkins University, MA, Applied Economics
Areas of Expertise
- Expertise Regulatory Compliance
- Examination and Enforcement Response
- Risk Management
- Control Testing and Validation
- Data Analytics
- Trade Surveillance
- Product Listing
- Regulatory Reporting
Jason Fairbanks
Biography
Jason Fairbanks is a derivatives regulatory advisor and market conduct consultant with more than 12 years’ experience in both the public and private sectors. His expertise combines both quantitative and qualitative evaluations of compliance with diverse regulatory requirements, including swaps regulatory reporting, product listing requirements, and market conduct controls for futures brokers, swap dealers, exchanges, and principal trading firms in traditional and decentralized finance. At Tölt Strategies, Jason specializes in regulatory advisory related to trading and markets.
Jason’s experience in the private sector has spanned independent consultant arrangements remediating regulatory findings, supporting litigation related to new product listings, testing regulatory controls via mock examination, and conducting internal investigations into potential market conduct violations under U.S., U.K., and European regulations.
In the public sector, Jason has worked with regulators such as the CFTC, SEC, and DOJ on engagements including program design, technical capability development, monitorship oversight, and investigations. He helped to lead a contractor team designing the SEC’s approach to using mandated security-based swaps reporting for the SEC Division of Examinations. In that role, he provided technical guidance to the SEC on data architecture and quality governance, designed and oversaw implementation of core analytic tools and controls, interfaced with industry on technical swaps reporting issues, and evaluated current events in the swaps market for other SEC divisions.
Earlier in this career, as a member of the CFTC Division of Enforcement’s Forensic Economics program, under the Office of the Chief Counsel, Jason served as an in-house analytical expert advising legal teams and investigating market conduct matters resulting in over $750 million in fines. His methods and software expanded the scope, accuracy, and precision of CFTC investigative and trade surveillance capabilities, particularly those involving multi-year spans of data, complex schemes, novel products, and cross-market conduct. He served as a Division of Enforcement representative to working groups innovating new technology solutions and revising swaps regulatory reporting standards. He first joined the CFTC as a contractor providing ad hoc analysis and data science solutions across the agency.
Jason earned a certificate in forecasting practice from The Johns Hopkins University and completed a year of study at the American University in Cairo. He is a Certified Fraud Examiner (CFE) and previously held the Certified Anti-Money Laundering Specialist (CAMS) designation.