(As of May 16, 2013)
An Investigator's main responsibility is to support NFA's regulatory programs through examinations, investigations and financial surveillance of NFA Members. Common duties include in-office monitoring and on-site examinations of a Member's books and records and analyzing its business and financial operations to ensure compliance with NFA's requirements. An Investigator also performs detailed trade analysis, reviews and investigates customer complaints, conducts fact-finding interviews, evaluates evidence to determine whether a Member has violated any rules and gathers evidence for possible disciplinary cases. An Investigator interacts with the investing public, as well as, senior staff, attorneys and officers at NFA Member firms.
The ideal candidate will meet the following requirements:
The Administrative Assistant will provide administrative support to the Swaps department, including typing, filing, compiling data for internal and external reports, ordering supplies, attending department meetings and taking notes, opening and distributing mail daily, answering phone calls, scheduling appointments and registering guests. Also, coordinate with the HR Generalist on external training events. In addition, gather information on conferences and coordinate conference attendance.
Lastly, may be required to participate in special projects as needed.
Requirements: Associate's degree and at least 2 years of administrative experience or equivalent work experience. Strong working knowledge of Adobe Acrobat, Microsoft Office programs, including Outlook, Word, Excel and PowerPoint. Willingness to gain basic knowledge of other programs valued. Strong analytical and conceptual problem solving skills. Excellent verbal, written and interpersonal communication skills. Excellent planning and organizational skills with the ability to work independently and effectively under pressure. Must be flexible and able to work cooperatively in a team setting. High degree of confidentiality with excellent judgment and diplomacy.
Location: New York
The Compliance Examiner participates in compliance audits of registered Swap Dealers and Major Swap Participants in the OTC derivatives markets. This is an opportunity to be part of a growing team that is responsible for administering the implementation of the Dodd-Frank Act regulations to the OTC markets in the financial industry. You will be responsible for reviewing compliance documentation as well as participating in field examinations of registered member firms. This position will likely involve extensive travel to domestic and foreign Swap Dealers and Major Swap Participants.
Location: Chicago and New York
The Senior Compliance Examiner is a key member of the team assigned to conduct compliance audits of registered Swap Dealers and Major Swap Participants in the OTC derivatives markets. This is an opportunity to be part of a growing team that is responsible for administering the implementation of the Dodd-Frank Act regulations to the OTC markets in the financial industry. You will be responsible for reviewing compliance documentation as well as leading areas of field examinations of registered member firms. This position will likely involve extensive travel to domestic and foreign Swap Dealers and Major Swap Participants.
Location: Chicago and New York
The Manager will assist the Director(s) of OTC Derivatives in building a structure to enable NFA to implement its regulatory program for OTC derivatives. Analyzes materials submitted by swap dealers and major swap participants pursuant to Implementing Regulations under Section 4s of the Commodity Exchange Act. Oversees staff and supervisors that complete the audits, financial analysis, investigations and surveillance of swap dealers and major swap participant registrants. Supervises communications with firm personnel regarding deficiencies and/or apparent violations as well as corrective action. Supervises other staff in their reviews and investigations of complaints and inquiries received from the public. Effectively utilizes available resources to increase industry, market and regulatory knowledge as well as technical expertise. Ensures key issues are identified and addressed and all necessary evidence is gathered for possible disciplinary cases. Allocates resources to ensure an efficient workflow and shares responsibility in training junior staff and assessing their performance. Reviews department's functions and seeks opportunities to create new, innovative ways for enhancing productivity within the department. Represents NFA through educational initiatives at industry conferences and in day to day communications with swap dealer and major swap participant registrants and industry professional.
The Director, Compliance will oversee compliance managers, supervisors and staff who complete audits, financial analysis, investigations, and financial surveillance of NFA Members that trade, deal or execute swaps (Swaps Members). This also includes performing any special projects necessary to accomplish these duties. Assist the Vice President, OTC Derivatives, in building a structure to enable NFA to carry out its regulatory programs for Swaps Members including:
At least 5 years' experience in an audit, regulatory, or compliance function, particularly involving OTC derivatives. Risk management and other experience in OTC derivatives a plus. Familiarity with the OTC derivatives market, in several of the following areas:
An understanding of complex and sophisticated market issues. Bachelor's Degree in accounting, finance or related field. Advanced degree preferable in accounting, finance or related field. Strong analytical and problem solving skills. Strategic, innovative and creative thinking. Ability to apply a common sense approach in a rule driven environment. Strong oral and written communication skills. Strong networking and relationship building skills. Ability to work effectively in a team environment. A high level of initiative. Experience in managing others and workflow.
Visit the current opportunities page for a list of employment opportunities at NFA.
Candidates will soon be able to submit their resume and complete the new online candidate profile for current open positions and to be considered for future positions.
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