Compliance Examiner

Description: The Compliance Examiner will support NFA's regulatory programs through exams, investigations, and financial surveillance of NFA Members.

Duties/Responsibilities:

  • Performs on-site examinations of NFA Member books and records and analyzes its business and financial operations to ensure compliance with NFA's requirements.
  • Reviews and investigates customer complaints to determine whether a Member has violated any rules and gather evidence for possible disciplinary cases.
  • Interacts with the investing public, as well as senior staff and officers at NFA Member firms.

Requirements:

  • A Bachelor's degree, which includes at least nine hours of accounting and an intermediate accounting class or equivalent work experience in compliance and/or financial auditing
  • An overall GPA of 3.0 on a 4.0 scale
  • Strong analytical and problem-solving skills
  • Strong oral and written communication skills
  • Ability to travel 20 to 40 percent as part of a team

Location: Chicago



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