Compliance Examiner

Department: OTC Derivatives

Location: New York, NY

Travel Requirements: 20-40%

Job ID:  256

LIFE AT NFA
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 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. 

Duties/Responsibilities:

  • 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.

Requirements:

  • 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

MAKE OUR MISSION YOUR CAREER
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.

Benefits

NFA offers a generous and flexible benefits package that allows employees to balance work and life.

Read Moreabout NFA employees

Our Culture

By actively engaging in the development of our employees, NFA has further enhanced our culture and advancement of our employees, which drives our success.

Read More about our culture

Our People

Meet NFA's employees and learn about their career progression.

Read More about NFA Employees

NFA Cares

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.

Read Moreabout NFA Cares

Chicago's 101 Best and Brightest Companies to Work For

Top 100 Workplaces

Crain's Best Places to Work in NYC

Best Places to Work in Illinois

100 Best Adoption-Friendly Workplaces

National Best and Brightest Companies to Work For

National Best and Brightest Companies to Work For

National Best and Brightest Companies to Work For