Compliance Examiner II
Department: OTC Derivatives Compliance
Location: New York, NY
Travel Requirements: 20-40%
Job ID: 342
When you join NFA as a Compliance Examiner II, you will gain unique insight into the global derivatives industry and its regulatory framework, utilizing your critical thinking, data analysis and risk assessment skills every day.
Bring your analytical and innovative mindsets. Bring your thirst for knowledge and learning. Bring a healthy skepticism and an eye for detail.
Beginning your first day and throughout your career, you'll gain exceptional experiences, career-long and personalized learning and invaluable coaching and mentoring. We believe in nurturing talent to develop future NFA and industry leaders.
What you'll do:
You'll join a high-performing team of dedicated problem solvers to develop innovative investigative strategies in support of our important regulatory mission. Along with forward-thinking technology, you will leverage your human curiosity to analyze documents, procedures and financial statements. As a team, you'll evaluate your findings for possible compliance deficiencies or rule violations and provide insight on the corrective action needed.
What we’re looking for:
Detail-oriented, driven individuals thrive in this collaborative, analytical role. If you're eager to apply your critical thinking abilities to serve a public good—supporting the integrity of the derivatives markets—and meet the qualifications below, we encourage you to apply to join our team as a Compliance Examiner II.
- Bachelor's degree in a business-oriented major
- One to two years of work experience in compliance or auditing
- Ability to apply the appropriate level of professional skepticism to assignments
- Ability to work effectively in a team environment
- Experience relating to OTC derivative products and entities that engage in swaps preferred
- Knowledge of the Dodd-Frank Wall Street Reform Act as it pertains to swap transactions and swaps intermediaries preferred
This position requires that you be fully vaccinated against COVID-19 by the date of hire. Proof of vaccination will be required as a condition of employment. NFA complies with federal, state and local laws with respect to providing accommodations for individuals who are unable to receive the vaccine due to a medical condition or religious belief.
MAKE OUR MISSION YOUR CAREER
NFA is purpose-driven. We safeguard the integrity of the derivatives markets, protect investors and ensure that our Members meet their regulatory obligations. We take pride in our work; maintain a conviction to do the right thing; empower each other; and support our community. Envision your career in a place where performing critical regulatory work within the financial industry is as significant as the diverse, passionate and talented individuals with whom you work.
Together, we will innovate regulation.
Read about NFA's generous and flexible benefits package that allows employees to balance work and life.
Learn about how NFA's culture drives our success.
Meet NFA employees and learn about their careers.
Learn about how NFA cares for the health and wellness of our employees and communities to promote the pursuit of excellence in our employees work.