Analyst, Promo/DDOC

Department: Compliance

Location: Chicago, IL

Travel Requirements: N/A

Job ID:  271

NFA is committed to creating an exceptional work environment. Learn from staff how NFA fosters a culture of diversity, ongoing learning and development, and work-life balance.


Description: The Analyst, Promo/DDOC will carry out NFA's regulatory programs with a primary focus on the managed funds sector. This includes conducting enhanced surveillance of Members and communicating findings to firm personnel.


  • Perform initial review of disclosure documents and promotional material to ensure compliance with required NFA rules and CFTC regulations.
  • Analyze quarterly commodity trading advisor filings for deficiencies or problems.
  • Document analysis and testing in a clear and concise manner.
  • Respond to reviewer feedback in a timely manner.
  • Respond to questions from Members and the general public utilizing available resources.
  • Conduct surveillance of Members' sales solicitations and internet presence.
  • Communicate findings to Members including potential corrective action.


  • Bachelor's degree in business oriented field
  • Overall GPA of 3.0 on a 4.0 scale
  • Detail-oriented with strong analytical and problem-solving skills
  • Strong verbal and written communication skills
  • Ability to manage multiple assignments and priorities while meeting deadlines
  • Ability to apply the appropriate level of professional skepticism to assignments

NFA is the industrywide, self-regulatory organization for the U.S. derivatives industry. NFA strives every day to safeguard the integrity of the derivatives markets, protect investors and ensure Members meet their regulatory responsibilities.


NFA offers a generous and flexible benefits package that allows employees to balance work and life.

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