Investigator

Department: Futures Compliance

Location: Chicago, IL

Travel Requirements: 20-50%

Job ID:  348

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 supports 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 interviews and surveys with the public 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
  • Nine 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

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