Compliance Examiner

Department: Compliance

Location: New York, NY

Travel Requirements: 10-30%

Job ID:  259

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 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.

Duties/Responsibilities:

  • 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.

Requirements:

  • 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

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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