Investigator

Department: Compliance

Location: Chicago, IL

Travel Requirements: 20-40%

Job ID:  1000

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 Investigator will support NFA's regulatory programs through exams, investigations, and financial surveillance of NFA Members.

Duties and Responsibilities:

  • Monitor assigned Members to detect possible violations of and ensure compliance with NFA rules and requirements.
  • Request and review financial information, promotional material, performance information and cash analysis.
  • Perform account analysis.
  • Conduct customer interviews and surveys to gather or clarify information.
  • Monitor Members' sales solicitations.
  • Assess whether NFA should continue to track particular Members.
  • Research issues, conduct fact-finding interviews, evaluate evidence and prepare reports summarizing NFA's findings.
  • Review customer complaints filed against Members.

Requirements:

  • Strong analytical, decision-making and problem-solving skills
  • Excellent oral and written communication skills
  • Ability to travel in isolated circumstances on 24-hour notice
  • Bachelor's degree in business-oriented field
  • 9 hours of accounting, which includes an intermediate accounting class
  • Overall GPA of 3.0 on a 4.0 scale

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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