Compliance Examiner

Department: OTC Derivatives

Location: Chicago, IL

Travel Requirements: 20-40%

Job ID:  297

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: Compliance Examiners support NFA's mission in safeguarding the integrity of the derivatives markets, protecting investors and ensuring swap dealer (SD) Members meet their regulatory responsibilities by performing extensive examinations, monitoring, and/or investigations of SD Members' records, operations, and policies and procedures to ensure compliance with NFA rules and CFTC regulations.

Duties/Responsibilities:

  • Review Members' policies, procedures, records and operations.
  • Document testing and findings in a clear and concise manner.
  • Identify and address key issues and collect all necessary evidence for possible disciplinary cases.
  • Communicate with SD Members regarding possible compliance deficiencies or violations and discuss corrective action.
  • Engage in day-to-day communications with SD Members and other industry professionals to assist Members in complying with the rules and regulations.

Requirements:

  • Bachelor's degree in business oriented major
  • Overall GPA of 3.0 on a 4.0 scale
  • Ability to apply the appropriate level of professional skepticism to assignments
  • Ability to work effectively in a team environment

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.

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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.

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Our People

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

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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.

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