Compliance Examiner II

Department: OTC Derivatives Compliance

Location: Chicago, IL

Travel Requirements: 20-40%

Job ID:  346

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 II will carry out NFA's regulatory programs as they relate to OTC derivatives. Specifically, the role will support the areas of field examinations, monitoring and/or investigation. The Compliance Examiner II will also assess compliance documentation of registered swap dealer (SD) Members.


  • Participate in field examinations, monitoring or investigations of SD Members.
  • Identify key compliance and financial reporting issues relating to Implementing Regulations under Section 4s of the Commodity Exchange Act.
  • Ensure key issues are identified and addressed and all necessary evidence is gathered for possible disciplinary cases.
  • Review documentation submitted by SD Members pursuant to Commodity Exchange Act Section 4s Implementing Regulations.
  • Analyze financial statements for anomalies and compliance with capital requirements and regulations.
  • Engage with SD Members to ensure that policies and procedures demonstrate the ability to comply with CFTC regulations.
  • Communicate with SD Members regarding possible compliance deficiencies or violations and discuss corrective action.
  • Review issues with the examination Manager and prepare post-examination reports.
  • Engage in day-to-day communications with SD Members and other industry professionals as required to assist Members in complying with Dodd-Frank and NFA rules.
  • Represent and promote NFA's educational initiatives by interacting with NFA Members, industry representatives and other outside organizations.


  • One to two years of work experience in compliance or auditing
  • Excellent written and verbal communication skills and a positive attitude
  • Strong analytical and problem-solving skills
  • Ability to work effectively in a team environment
  • Ability to travel 20-40 percent domestically and/or abroad
  • Bachelor's degree in accounting, finance or related field with an overall GPA of 3.0 on a 4.0 scale
  • Ability to utilize available resources to increase industry, market and regulatory knowledge as well as technical expertise
  • 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

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.


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