Compliance Examiner, OTC Derivatives

Description: The Compliance Examiner 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 investigations. Compliance Examiners will also assess compliance documentation of registered Swap Dealer (SD) Members. 


  • Identify key compliance 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.
  • 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 Managers 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.


  • Bachelor's degree in accounting, finance or related field with an overall GPA of 3.0 on a 4.0 scale
  • Ability to travel 20-40 percent of the time domestically and/or abroad
  • Background in compliance or auditing preferred
  • 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

Location: New York, NY

Job ID: 256

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