Department: OTC Derivatives
Location: Chicago, IL
Travel Requirements: 20-40%
Job ID: 328
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.
- 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.
- Bachelor's degree in business oriented major
- Overall GPA of 3.0 on a 4.0 scale
- Nine hours of accounting including an intermediate accounting class
- Prior experience in financial services industry preferred
- Ability to apply the appropriate level of professional skepticism to assignments
- Ability to work effectively in a team environment
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