Examinations Manager

Department: Futures Compliance

Location: Chicago, IL

Travel Requirements: Up to 30%

Job ID:  339

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 Examinations Manager supports NFA's regulatory programs by monitoring Member activity, including futures commission merchants (FCMs), through examinations, financial analysis, investigations and surveillance.  The goal of monitoring is to enable NFA to stay abreast of significant developments occurring at Member firms and in the industry.

Duties/Responsibilities:

  • Develop a thorough understanding of NFA's examination, monitoring and investigative techniques, and relevant rules and regulations with which Member firms are required to comply.
  • Oversee examinations, financial analysis, investigations and surveillance of Member firms, with a focus on FCMs, to make sure they are completed in accordance with NFA's Compliance department standards, and to ensure that staff applied the appropriate level of professional skepticism.
  • Provide staff with training and other learning opportunities that enable them to complete assignments effectively in the ever-changing futures industry.
  • Review reports received from Member firms to identify significant items, events or trends, and summarize results that may require further action by other NFA teams.
  • Identify and evaluate appropriate industry news and information in order to determine its potential impact to Member firms.
  • Participate in examination planning meetings and provide input to the scope development.
  • Actively participate in internal meetings by bringing issues or ideas to the department's attention.
  • Review the department's functions and seek opportunities to create new and innovative ways for enhancing productivity.
  • Increase industry, market, regulatory and technical expertise by participating in training/educational opportunities, keeping abreast of industry developments, reading regulatory publications, and participating in industry organizations.
  • Review the work completed by staff and properly assess their performance.
  • Participate in the performance management process by providing constructive feedback to staff regarding work production.
  • Promote NFA's brand through day-to-day communications with Members and industry professionals.

Requirements:

  • Bachelor's degree with a business-oriented major
  • Minimum of five years financial services experience, preferably in regulatory compliance, auditing or risk management
  • Strong knowledge of CFTC Regulations, NFA Rules, GAAP and GAAS
  • Strong analytical and problem-solving skills
  • Strategic, innovative and creative thinking with ability to assist the department in developing best practices
  • Strong verbal and written communication skills with the ability to effectively articulate ideas and positions to senior individuals and in group meetings
  • Strong networking and relationship building skills
  • Ability to work in a team setting, both as a leader and a participant
  • A high level of initiative
  • Previous managerial experience

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

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