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NFA's Compliance Department was established to ensure our Members meet their regulatory obligations. The department's primary functions include conducting audits, monitoring the markets for unusual activity, and reviewing advertising material for compliance with industry regulations. The specific functions of each area are outlined in more detail below.
Audit Staff:
- Conduct risk-based audits of Member firms located throughout the United States
- Analyze Member financial statements to ensure the financial integrity of the industry
- Conduct investigations to determine whether regulations have been violated
- Provide support to Members to ensure they are better able to comply with industry regulations
Specialist Team:
- Analyze offering memorandums, which are distributed to the public, for compliance with industry regulations
- Review industry-related advertising material to ensure that it is not deceptive or fraudulent
Market Surveillance & Trade Practice:
- Monitor the markets for attempts at price manipulation, market concentrations or inversions
- Monitor trading for unusual trading patterns and improper handling of customer accounts
NFA's Culture
NFA is an equal opportunity employer, committed to the strength of a diverse workforce.
From our business casual dress policy to our flexible schedules, NFA has
established a worker-friendly environment for its employees. Breaking away
from the traditional relationships between staff and supervisor, NFA focuses
on a team structure. This allows for all employees to participate in the
decision making process.
NFA staff auditor requirements:
- Bachelor's degree in Accounting, Finance or other discipline
- Minimum cumulative GPA of 3.0 on a 4.0 scale
- A core of nine accounting hours including Intermediate Accounting or its equivalent
- 30% to 40% travel
- Excellent communication skills
NFA typically recruits for the staff auditor position in the fall.
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