Compliance Examiner

Department: Compliance

Location: New York, NY

Travel Requirements: 10-30%

Job ID:  259

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 Compliance Examiner will support NFA's regulatory programs through exams, investigations, and financial surveillance of Members; specifically focusing on Members in the U.S. derivatives industry, including on-exchange traded futures and retail off-exchange foreign currency.


  • Review policies, procedures, records, documents, and operations to ensure Member's compliance with NFA rules and Commodities Futures Trading Commission (CFTC) regulations.
  • Review records and document testing in a clear and concise manner.
  • Analyze Members' financial statements for anomalies and possible non-compliance with NFA rules and CFTC regulations.
  • Develop an initial investigation strategy, including timelines for completion.
  • Identify potential areas of fraud.
  • Communicate findings to Members, including alternatives for corrective action.


  • Bachelor's degree in business oriented major
  • Nine hours of accounting, which includes an intermediate accounting class
  • Overall GPA of 3.0 on a 4.0 scale
  • 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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