Analyst, Promo/DDOC

Department: Compliance

Location: Chicago, IL

Travel Requirements: N/A

Job ID:  271

LIFE AT NFA
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.

Duties/Responsibilities:

  • 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.

Requirements:

  • 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

MAKE OUR MISSION YOUR CAREER
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.

Benefits

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

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Our Culture

By actively engaging in the development of our employees, NFA has further enhanced our culture and advancement of our employees, which drives our success.

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Our People

Meet NFA's employees and learn about their career progression.

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NFA Cares

NFA believes caring for the health and wellness of our employees and bettering our communities to promote the pursuit of excellence in our employees work.

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