Location: New York, NY
Travel Requirements: 10-30%
Job ID: 259
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 offers a generous and flexible benefits package that allows employees to balance work and life.
By actively engaging in the development of our employees, NFA has further enhanced our culture and advancement of our employees, which drives our success.
Meet NFA's employees and learn about their career progression.
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.