Department: OTC Derivatives
Location: New York, NY
Travel Requirements: 20-40%
Job ID: 256
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
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.