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